Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, KAI YUEN
Chinese Name of Relevant Individual
丘啟源
HKMA Registration Number
AC9542
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
25 Sep 2025
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
25 Sep 2025
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 25 Sep 2025
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 25 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2021 - 19 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jan 2015 - 19 Sep 2025
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
19 Aug 2014 - 02 Jan 2015
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
19 Aug 2014 - 02 Jan 2015
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
19 May 2010 - 25 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
19 May 2010 - 18 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2008 - 21 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2008 - 21 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2006 - 23 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2006 - 23 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Jun 2006 - 23 Jun 2008
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 Nov 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
27 Nov 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
YAU, KAI YUEN
:
Chinese Name of Relevant Individual
丘啟源
:
HKMA Registration Number
AC9542
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
25 Sep 2025
No
EAM ACCOUNT MANAGER
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
25 Sep 2025
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)
AC9542
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 25 Sep 2025
No
AC9542
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 25 Sep 2025
No
AC9542
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
01 Apr 2021 - 19 Sep 2025
No
AC9542
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
31 Jan 2015 - 19 Sep 2025
No
AC9542
CREDIT SUISSE AG
Type 1: dealing in securities
19 Aug 2014 - 02 Jan 2015
No
AC9542
CREDIT SUISSE AG
Type 4: advising on securities
19 Aug 2014 - 02 Jan 2015
No
AC9542
ABN AMRO BANK N.V.
Type 1: dealing in securities
19 May 2010 - 25 Jul 2014
No
AC9542
ABN AMRO BANK N.V.
Type 9: asset management
19 May 2010 - 18 May 2014
No
AC9542
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
12 Sep 2008 - 21 Oct 2009
No
AC9542
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
12 Sep 2008 - 21 Oct 2009
No
AC9542
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Jul 2006 - 23 Jun 2008
No
AC9542
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Jun 2006 - 23 Jun 2008
No
AC9542
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Jun 2006 - 23 Jun 2008
No
AC9542
ABN AMRO BANK N.V.
Type 1: dealing in securities
27 Nov 2007
No
AC9542
ABN AMRO BANK N.V.
Type 9: asset management
27 Nov 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.