Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIU MEI BERNADETTE
Chinese Name of Relevant Individual
陳小媚
HKMA Registration Number
AA1821
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
03 Jun 2017 - 14 Jan 2020
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
11 Apr 2013 - 31 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2013 - 31 Mar 2017
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
21 May 2012 - 04 Nov 2012
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
15 May 2012 - 04 Nov 2012
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
15 May 2012 - 04 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2007 - 21 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 04 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 04 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Sep 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Sep 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 28 Aug 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 28 Aug 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
CHAN, SIU MEI BERNADETTE
:
Chinese Name of Relevant Individual
陳小媚
:
HKMA Registration Number
AA1821
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1821
UBS AG
Type 1: dealing in securities
03 Jun 2017 - 14 Jan 2020
No
AA1821
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Apr 2013 - 31 Mar 2017
No
AA1821
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Apr 2013 - 31 Mar 2017
No
AA1821
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 May 2012 - 04 Nov 2012
No
AA1821
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 May 2012 - 04 Nov 2012
No
AA1821
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 May 2012 - 04 Nov 2012
No
AA1821
UBS AG
Type 1: dealing in securities
10 Jan 2007 - 21 Feb 2012
No
AA1821
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 04 Jan 2007
No
AA1821
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 04 Jan 2007
No
AA1821
CITIBANK, N.A.
Type 1: dealing in securities
03 Sep 2003 - 06 Jul 2005
No
AA1821
CITIBANK, N.A.
Type 4: advising on securities
03 Sep 2003 - 06 Jul 2005
No
AA1821
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 28 Aug 2003
No
AA1821
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 28 Aug 2003
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.