Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
IP, NAI
Chinese Name of Relevant Individual
葉妮
HKMA Registration Number
AC0129
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Jan 2017
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Jan 2017
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
SFC CE number
ABZ544
Business Address
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, 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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2017 - 31 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2017 - 31 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2012 - 10 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2012 - 10 Jan 2017
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
09 Apr 2011 - 24 Feb 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
09 Apr 2011 - 24 Feb 2012
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
15 Jun 2008 - 17 Jan 2010
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
15 Jun 2008 - 17 Jan 2010
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
02 Nov 2006 - 23 May 2008
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
02 Nov 2006 - 23 May 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2003 - 02 Nov 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2003 - 02 Nov 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
18 Jun 2003 - 05 Sep 2004
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
IP, NAI
:
Chinese Name of Relevant Individual
葉妮
:
HKMA Registration Number
AC0129
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
18 Jan 2017
No
CLIENT RELATIONSHIP ASSOCIATE
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
18 Jan 2017
No
CLIENT RELATIONSHIP ASSOCIATE
Name of Registered Institution
SFC CE number
Business Address
UNION BANCAIRE PRIVÉE, UBP SA
ABZ544
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0129
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 03 Aug 2017
No
AC0129
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 03 Aug 2017
No
AC0129
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
18 Jan 2017 - 31 Jul 2017
No
AC0129
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
18 Jan 2017 - 31 Jul 2017
No
AC0129
BSI LTD
Type 1: dealing in securities
13 Mar 2012 - 10 Jan 2017
No
AC0129
BSI LTD
Type 4: advising on securities
13 Mar 2012 - 10 Jan 2017
No
AC0129
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
09 Apr 2011 - 24 Feb 2012
No
AC0129
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
09 Apr 2011 - 24 Feb 2012
No
AC0129
CREDIT SUISSE AG
Type 1: dealing in securities
15 Jun 2008 - 17 Jan 2010
No
AC0129
CREDIT SUISSE AG
Type 4: advising on securities
15 Jun 2008 - 17 Jan 2010
No
AC0129
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Nov 2006 - 23 May 2008
No
AC0129
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Nov 2006 - 23 May 2008
No
AC0129
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Jun 2003 - 02 Nov 2006
No
AC0129
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Jun 2003 - 02 Nov 2006
No
AC0129
BANK OF CHINA (HONG KONG) LIMITED
Type 7: providing automated trading services
18 Jun 2003 - 05 Sep 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.