Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, CONNIE STELLA
Chinese Name of Relevant Individual
HKMA Registration Number
AC5510
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
03 May 2021 - 30 Jun 2022
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
03 May 2021 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2018 - 17 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2018 - 17 Mar 2021
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
02 Apr 2012 - 13 Aug 2018
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
02 Apr 2012 - 13 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Apr 2005 - 24 Jul 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, CONNIE STELLA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC5510
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5510
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
03 May 2021 - 30 Jun 2022
No
AC5510
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
03 May 2021 - 30 Jun 2022
No
AC5510
BNP PARIBAS
Type 1: dealing in securities
09 Nov 2018 - 17 Mar 2021
No
AC5510
BNP PARIBAS
Type 4: advising on securities
09 Nov 2018 - 17 Mar 2021
No
AC5510
CREDIT SUISSE AG
Type 1: dealing in securities
02 Apr 2012 - 13 Aug 2018
No
AC5510
CREDIT SUISSE AG
Type 4: advising on securities
02 Apr 2012 - 13 Aug 2018
No
AC5510
UBS AG
Type 1: dealing in securities
29 Apr 2005 - 24 Jul 2007
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.