Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSANG, PUI FAN KAREN
Chinese Name of Relevant Individual
曾佩芬
HKMA Registration Number
AA2063
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT
Remarks
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
SFC CE number
AGV591
Business Address
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, 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
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2017 - 12 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2017 - 12 Jun 2023
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
30 Nov 2013 - 29 Sep 2016
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
30 Nov 2013 - 29 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2013 - 08 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2013 - 08 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jun 2010 - 02 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jun 2010 - 02 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2008 - 11 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2008 - 11 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2006 - 18 Feb 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FORTIS BANK
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2006 - 18 Feb 2008
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
21 Oct 2004 - 28 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
TSANG, PUI FAN KAREN
:
Chinese Name of Relevant Individual
曾佩芬
:
HKMA Registration Number
AA2063
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
06 Aug 2025
No
VICE PRESIDENT
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
06 Aug 2025
No
VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
CATHAY UNITED BANK COMPANY, LIMITED
AGV591
23/F, ONE CAUSEWAY BAY, 281 GLOUCESTER ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2063
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
Since 06 Aug 2025
No
AA2063
CATHAY UNITED BANK COMPANY, LIMITED
Type 4: advising on securities
Since 06 Aug 2025
No
AA2063
UBS AG
Type 1: dealing in securities
05 Jan 2017 - 12 Jun 2023
No
AA2063
UBS AG
Type 4: advising on securities
05 Jan 2017 - 12 Jun 2023
No
AA2063
CREDIT SUISSE AG
Type 1: dealing in securities
30 Nov 2013 - 29 Sep 2016
No
AA2063
CREDIT SUISSE AG
Type 4: advising on securities
30 Nov 2013 - 29 Sep 2016
No
AA2063
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
24 Jan 2013 - 08 Sep 2013
No
AA2063
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
24 Jan 2013 - 08 Sep 2013
No
AA2063
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
12 Jun 2010 - 02 Mar 2012
No
AA2063
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
12 Jun 2010 - 02 Mar 2012
No
AA2063
FORTIS BANK
Type 1: dealing in securities
02 Jun 2008 - 11 Jun 2010
No
AA2063
FORTIS BANK
Type 4: advising on securities
02 Jun 2008 - 11 Jun 2010
No
AA2063
FORTIS BANK
Type 1: dealing in securities
12 Sep 2006 - 18 Feb 2008
No
AA2063
FORTIS BANK
Type 4: advising on securities
12 Sep 2006 - 18 Feb 2008
No
AA2063
ABN AMRO BANK N.V.
Type 1: dealing in securities
21 Oct 2004 - 28 Aug 2006
No
AA2063
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 01 Oct 2004
No
AA2063
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 01 Oct 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.