Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, NGA YEE
Chinese Name of Relevant Individual
陳雅兒
HKMA Registration Number
AC0565
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
14 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
EAM ACCOUNT MANAGER
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
EAM ACCOUNT MANAGER
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 14 Oct 2023
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 14 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jul 2018 - 11 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jul 2018 - 11 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2014 - 13 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NEWEDGE GROUP
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2011 - 31 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2007 - 27 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2006 - 22 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2003 - 16 Oct 2003
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
10 Sep 2003 - 16 Oct 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, NGA YEE
:
Chinese Name of Relevant Individual
陳雅兒
:
HKMA Registration Number
AC0565
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
14 Oct 2023
No
EAM ACCOUNT MANAGER
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
14 Oct 2023
No
EAM ACCOUNT MANAGER
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)
AC0565
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 14 Oct 2023
No
AC0565
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 14 Oct 2023
No
AC0565
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2018 - 11 Oct 2023
No
AC0565
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2018 - 11 Oct 2023
No
AC0565
SOCIETE GENERALE
Type 1: dealing in securities
01 Oct 2014 - 13 Jul 2018
No
AC0565
NEWEDGE GROUP
Type 1: dealing in securities
09 Jun 2011 - 31 Dec 2014
No
AC0565
UBS AG
Type 1: dealing in securities
01 May 2007 - 27 Jun 2010
No
AC0565
ING BANK N.V.
Type 1: dealing in securities
01 Aug 2006 - 22 Apr 2007
No
AC0565
CITIBANK, N.A.
Type 1: dealing in securities
10 Sep 2003 - 16 Oct 2003
No
AC0565
CITIBANK, N.A.
Type 4: advising on securities
10 Sep 2003 - 16 Oct 2003
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.