Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAI, CATHERINE HONGJUN
Chinese Name of Relevant Individual
蔡紅軍
HKMA Registration Number
AC0410
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Nov 2017 - 13 Dec 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
30 Nov 2017 - 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
30 Nov 2017 - 13 Dec 2024
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
27 Sep 2004 - 11 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Sep 2004 - 11 Aug 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2004 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2004 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 Jul 2004 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK ONE, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Aug 2003 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK ONE, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2003 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK ONE, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
11 Aug 2003 - 23 Sep 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CAI, CATHERINE HONGJUN
:
Chinese Name of Relevant Individual
蔡紅軍
:
HKMA Registration Number
AC0410
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0410
UBS AG
Type 1: dealing in securities
30 Nov 2017 - 13 Dec 2024
No
AC0410
UBS AG
Type 4: advising on securities
30 Nov 2017 - 13 Dec 2024
No
AC0410
UBS AG
Type 6: advising on corporate finance
30 Nov 2017 - 13 Dec 2024
No
AC0410
ABN AMRO BANK N.V.
Type 1: dealing in securities
27 Sep 2004 - 11 Aug 2005
No
AC0410
ABN AMRO BANK N.V.
Type 6: advising on corporate finance
27 Sep 2004 - 11 Aug 2005
No
AC0410
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
05 Jul 2004 - 23 Sep 2004
No
AC0410
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
05 Jul 2004 - 23 Sep 2004
No
AC0410
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 6: advising on corporate finance
05 Jul 2004 - 23 Sep 2004
No
AC0410
BANK ONE, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Aug 2003 - 23 Sep 2004
No
AC0410
BANK ONE, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Aug 2003 - 23 Sep 2004
No
AC0410
BANK ONE, NATIONAL ASSOCIATION
Type 9: asset management
11 Aug 2003 - 23 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.