Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KAI TAI
Chinese Name of Relevant Individual
陳啟泰
HKMA Registration Number
AF5152
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
03 Mar 2015 - 08 Mar 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
03 Mar 2015 - 08 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINATRUST COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2012 - 03 Jun 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINATRUST COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2012 - 03 Jun 2013
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
CHAN, KAI TAI
:
Chinese Name of Relevant Individual
陳啟泰
:
HKMA Registration Number
AF5152
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5152
UBS AG
Type 1: dealing in securities
03 Mar 2015 - 08 Mar 2017
No
AF5152
UBS AG
Type 4: advising on securities
03 Mar 2015 - 08 Mar 2017
No
AF5152
CHINATRUST COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
01 Mar 2012 - 03 Jun 2013
No
AF5152
CHINATRUST COMMERCIAL BANK, LIMITED
Type 4: advising on securities
01 Mar 2012 - 03 Jun 2013
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.