Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, CHUNG YIN ANNA
Chinese Name of Relevant Individual
陳頌賢
HKMA Registration Number
AA1844
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
15 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Apr 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT 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 15 Apr 2024
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 15 Apr 2024
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
28 May 2022 - 14 Apr 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
28 May 2022 - 14 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2017 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 May 2017 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2017 - 30 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
01 May 2017 - 30 Sep 2021
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 - 13 Dec 2015
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 - 13 Dec 2015
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 - 13 Dec 2015
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
09 Mar 2009 - 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 4: advising on securities
Effective Period
09 Mar 2009 - 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
09 Mar 2009 - 31 Mar 2010
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
13 Jan 2007 - 20 Nov 2008
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
CHAN, CHUNG YIN ANNA
:
Chinese Name of Relevant Individual
陳頌賢
:
HKMA Registration Number
AA1844
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
15 Apr 2024
No
PRODUCT SPECIALIST
UBS AG
Type 4: advising on securities
15 Apr 2024
No
PRODUCT 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)
AA1844
UBS AG
Type 1: dealing in securities
Since 15 Apr 2024
No
AA1844
UBS AG
Type 4: advising on securities
Since 15 Apr 2024
No
AA1844
CREDIT SUISSE AG
Type 1: dealing in securities
28 May 2022 - 14 Apr 2024
No
AA1844
CREDIT SUISSE AG
Type 4: advising on securities
28 May 2022 - 14 Apr 2024
No
AA1844
LGT BANK AG
Type 1: dealing in securities
01 May 2017 - 30 Sep 2021
No
AA1844
LGT BANK AG
Type 2: dealing in futures contracts
01 May 2017 - 30 Sep 2021
No
AA1844
LGT BANK AG
Type 4: advising on securities
01 May 2017 - 30 Sep 2021
No
AA1844
LGT BANK AG
Type 5: advising on futures contracts
01 May 2017 - 30 Sep 2021
No
AA1844
ABN AMRO BANK N.V.
Type 1: dealing in securities
24 Mar 2010 - 13 Dec 2015
No
AA1844
ABN AMRO BANK N.V.
Type 4: advising on securities
24 Mar 2010 - 13 Dec 2015
No
AA1844
ABN AMRO BANK N.V.
Type 9: asset management
24 Mar 2010 - 13 Dec 2015
No
AA1844
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
09 Mar 2009 - 31 Mar 2010
No
AA1844
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
09 Mar 2009 - 31 Mar 2010
No
AA1844
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 9: asset management
09 Mar 2009 - 31 Mar 2010
No
AA1844
CITIBANK, N.A.
Type 4: advising on securities
13 Jan 2007 - 20 Nov 2008
No
AA1844
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
13 Jan 2007 - 20 Nov 2008
No
AA1844
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 20 Nov 2008
No
AA1844
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 20 Nov 2008
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.