Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

CAI, QING

Chinese Name of Relevant Individual

蔡清

HKMA Registration Number

AC9347

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

CITIBANK, N.A.

Regulated Activity

Type 1: dealing in securities

Effective Period

27 Apr 2019 - 08 Nov 2019

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

27 Apr 2019 - 08 Nov 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITICORP INTERNATIONAL LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

27 Apr 2019 - 08 Nov 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CITICORP INTERNATIONAL LIMITED

Regulated Activity

Type 4: advising on securities

Effective Period

27 Apr 2019 - 08 Nov 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BNP PARIBAS

Regulated Activity

Type 1: dealing in securities

Effective Period

16 Mar 2017 - 13 Apr 2018

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BNP PARIBAS

Regulated Activity

Type 4: advising on securities

Effective Period

16 Mar 2017 - 13 Apr 2018

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 4: advising on securities

Effective Period

17 Apr 2014 - 02 Dec 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 1: dealing in securities

Effective Period

30 May 2007 - 02 Dec 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HSBC PRIVATE BANK (SUISSE) SA

Regulated Activity

Type 1: dealing in securities

Effective Period

15 May 2006 - 30 Apr 2007

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

HSBC PRIVATE BANK (SUISSE) SA

Regulated Activity

Type 4: advising on securities

Effective Period

15 May 2006 - 30 Apr 2007

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

CAI, QING

:

Chinese Name of Relevant Individual

蔡清

:

HKMA Registration Number

AC9347

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AC9347

CITIBANK, N.A.

Type 1: dealing in securities

27 Apr 2019 - 08 Nov 2019

No

AC9347

CITIBANK, N.A.

Type 4: advising on securities

27 Apr 2019 - 08 Nov 2019

No

AC9347

CITICORP INTERNATIONAL LIMITED

Type 1: dealing in securities

27 Apr 2019 - 08 Nov 2019

No

AC9347

CITICORP INTERNATIONAL LIMITED

Type 4: advising on securities

27 Apr 2019 - 08 Nov 2019

No

AC9347

BNP PARIBAS

Type 1: dealing in securities

16 Mar 2017 - 13 Apr 2018

No

AC9347

BNP PARIBAS

Type 4: advising on securities

16 Mar 2017 - 13 Apr 2018

No

AC9347

UBS AG

Type 4: advising on securities

17 Apr 2014 - 02 Dec 2016

No

AC9347

UBS AG

Type 1: dealing in securities

30 May 2007 - 02 Dec 2016

No

AC9347

HSBC PRIVATE BANK (SUISSE) SA

Type 1: dealing in securities

15 May 2006 - 30 Apr 2007

No

AC9347

HSBC PRIVATE BANK (SUISSE) SA

Type 4: advising on securities

15 May 2006 - 30 Apr 2007

No