Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIU HUNG
Chinese Name of Relevant Individual
陳少雄
HKMA Registration Number
AA1822
Other HKMA Registration Number(s)
AD3366
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Nov 2011
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Nov 2011
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 24 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Mar 2024 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Mar 2024 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
24 Nov 2011 - 07 Dec 2016
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
20 Apr 2010 - 11 Nov 2011
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
20 Apr 2010 - 11 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2010 - 11 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Apr 2010 - 11 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
Effective Period
26 Feb 2008 - 12 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2007 - 12 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2005 - 01 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2005 - 01 Apr 2007
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
20 Mar 2004 - 01 Apr 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
01 Apr 2003 - 01 Apr 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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 HUNG
:
Chinese Name of Relevant Individual
陳少雄
:
HKMA Registration Number
AA1822
:
Other HKMA Registration Number(s)
AD3366
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
24 Nov 2011
No
MANDATE SPECIALIST
UBS AG
Type 4: advising on securities
24 Nov 2011
No
MANDATE SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1822
UBS AG
Type 1: dealing in securities
Since 24 Nov 2011
No
AA1822
UBS AG
Type 4: advising on securities
Since 24 Nov 2011
No
AA1822
CREDIT SUISSE AG
Type 1: dealing in securities
26 Mar 2024 - 31 May 2024
No
AA1822
CREDIT SUISSE AG
Type 4: advising on securities
26 Mar 2024 - 31 May 2024
No
AA1822
UBS AG
Type 9: asset management
24 Nov 2011 - 07 Dec 2016
No
AA1822
CITIBANK, N.A.
Type 1: dealing in securities
20 Apr 2010 - 11 Nov 2011
No
AA1822
CITIBANK, N.A.
Type 4: advising on securities
20 Apr 2010 - 11 Nov 2011
No
AA1822
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
20 Apr 2010 - 11 Nov 2011
No
AA1822
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
20 Apr 2010 - 11 Nov 2011
No
AD3366
EFG BANK AG
Type 9: asset management
26 Feb 2008 - 12 Apr 2010
No
AD3366
EFG BANK AG
Type 1: dealing in securities
24 Apr 2007 - 12 Apr 2010
No
AA1822
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 01 Apr 2007
No
AA1822
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
01 Oct 2005 - 01 Apr 2007
No
AA1822
CITIBANK, N.A.
Type 4: advising on securities
20 Mar 2004 - 01 Apr 2007
No
AA1822
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 01 Apr 2007
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.