Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AU, YIN KI
Chinese Name of Relevant Individual
區嫣琪
HKMA Registration Number
AA1274
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2013 - 07 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2013 - 07 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
21 Mar 2013 - 07 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2012 - 05 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2012 - 05 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2010 - 29 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Mar 2010 - 29 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
24 Mar 2010 - 29 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2007 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2005 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 9: asset management
Effective Period
13 Jun 2005 - 31 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2005 - 02 Jun 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 May 2005 - 02 Jun 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
12 May 2005 - 02 Jun 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 19 Feb 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
AU, YIN KI
:
Chinese Name of Relevant Individual
區嫣琪
:
HKMA Registration Number
AA1274
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1274
UBS AG
Type 1: dealing in securities
21 Mar 2013 - 07 Jan 2022
No
AA1274
UBS AG
Type 4: advising on securities
21 Mar 2013 - 07 Jan 2022
No
AA1274
UBS AG
Type 9: asset management
21 Mar 2013 - 07 Dec 2016
No
AA1274
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Oct 2012 - 05 Mar 2013
No
AA1274
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
05 Oct 2012 - 05 Mar 2013
No
AA1274
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 29 Aug 2012
No
AA1274
ABN AMRO BANK N.V.
Type 4: advising on securities
24 Mar 2010 - 29 Aug 2012
No
AA1274
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 29 Aug 2012
No
AA1274
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
24 Jul 2007 - 31 Mar 2010
No
AA1274
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
13 Jun 2005 - 31 Mar 2010
No
AA1274
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
13 Jun 2005 - 31 Mar 2010
No
AA1274
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 May 2005 - 02 Jun 2005
No
AA1274
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 May 2005 - 02 Jun 2005
No
AA1274
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 May 2005 - 02 Jun 2005
No
AA1274
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 19 Feb 2004
No
AA1274
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 19 Feb 2004
No
AA1274
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 19 Feb 2004
No
AA1274
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
01 Apr 2003 - 19 Feb 2004
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.