Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, MAN FAI RICKY
Chinese Name of Relevant Individual
周文輝
HKMA Registration Number
AC0144
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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2012 - 25 Oct 2012
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
15 Jun 2012 - 25 Oct 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
07 May 2006 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 May 2006 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
07 May 2006 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2003 - 29 Feb 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
CHAU, MAN FAI RICKY
:
Chinese Name of Relevant Individual
周文輝
:
HKMA Registration Number
AC0144
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0144
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jun 2012 - 25 Oct 2012
No
AC0144
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
15 Jun 2012 - 25 Oct 2012
No
AC0144
UBS AG
Type 1: dealing in securities
07 May 2006 - 18 Jun 2010
No
AC0144
UBS AG
Type 4: advising on securities
07 May 2006 - 18 Jun 2010
No
AC0144
UBS AG
Type 9: asset management
07 May 2006 - 18 Jun 2010
No
AC0144
UBS AG
Type 1: dealing in securities
21 Jun 2003 - 29 Feb 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.