Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SOO, SHARLENE
Chinese Name of Relevant Individual
HKMA Registration Number
AF3387
Other HKMA Registration Number(s)
AF5910
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2024 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
26 Sep 2024 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Sep 2024 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
26 Sep 2024 - 31 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BDO UNIBANK, INC.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2023 - 14 Aug 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2017 - 14 Oct 2022
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
08 Nov 2017 - 14 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2015 - 15 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2015 - 15 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2013 - 07 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2012 - 07 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2011 - 25 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Oct 2011 - 25 Mar 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
SOO, SHARLENE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3387
:
Other HKMA Registration Number(s)
AF5910
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5910
LGT BANK AG
Type 1: dealing in securities
26 Sep 2024 - 31 Oct 2025
No
AF5910
LGT BANK AG
Type 2: dealing in futures contracts
26 Sep 2024 - 31 Oct 2025
No
AF5910
LGT BANK AG
Type 4: advising on securities
26 Sep 2024 - 31 Oct 2025
No
AF5910
LGT BANK AG
Type 5: advising on futures contracts
26 Sep 2024 - 31 Oct 2025
No
AF5910
BDO UNIBANK, INC.
Type 1: dealing in securities
09 Jan 2023 - 14 Aug 2024
Yes
AF5910
CREDIT SUISSE AG
Type 1: dealing in securities
08 Nov 2017 - 14 Oct 2022
No
AF5910
CREDIT SUISSE AG
Type 4: advising on securities
08 Nov 2017 - 14 Oct 2022
No
AF5910
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
24 Jul 2015 - 15 Sep 2017
No
AF5910
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
24 Jul 2015 - 15 Sep 2017
No
AF5910
UBS AG
Type 4: advising on securities
28 Dec 2013 - 07 May 2015
No
AF5910
UBS AG
Type 1: dealing in securities
12 May 2012 - 07 May 2015
No
AF3387
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Oct 2011 - 25 Mar 2012
No
AF3387
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Oct 2011 - 25 Mar 2012
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.