Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUO, TIAN BAO
Chinese Name of Relevant Individual
羅天寶
HKMA Registration Number
AF3118
Other HKMA Registration Number(s)
AG2561
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2023 - 19 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2023 - 19 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2014 - 22 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Feb 2014 - 22 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2011 - 17 Feb 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LUO, TIAN BAO
:
Chinese Name of Relevant Individual
羅天寶
:
HKMA Registration Number
AF3118
:
Other HKMA Registration Number(s)
AG2561
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2561
EFG BANK AG
Type 1: dealing in securities
31 May 2023 - 19 Oct 2023
No
AG2561
EFG BANK AG
Type 4: advising on securities
31 May 2023 - 19 Oct 2023
No
AG2561
UBS AG
Type 1: dealing in securities
18 Feb 2014 - 22 May 2020
No
AG2561
UBS AG
Type 4: advising on securities
18 Feb 2014 - 22 May 2020
No
AF3118
UBS AG
Type 1: dealing in securities
27 Sep 2011 - 17 Feb 2014
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.