Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHO, KA LAI
Chinese Name of Relevant Individual
左嘉麗
HKMA Registration Number
AC6616
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
23 Jan 2007 - 31 Mar 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2006 - 30 Nov 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2006 - 30 Nov 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Aug 2005 - 24 Aug 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CHO, KA LAI
:
Chinese Name of Relevant Individual
左嘉麗
:
HKMA Registration Number
AC6616
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6616
UBS AG
Type 1: dealing in securities
23 Jan 2007 - 31 Mar 2009
No
AC6616
BANK OF AMERICA (ASIA) LIMITED
Type 1: dealing in securities
17 Sep 2006 - 30 Nov 2006
No
AC6616
BANK OF AMERICA (ASIA) LIMITED
Type 4: advising on securities
17 Sep 2006 - 30 Nov 2006
No
AC6616
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
19 Aug 2005 - 24 Aug 2006
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.