Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

WU, KE ISABELLA

Chinese Name of Relevant Individual

吳柯

HKMA Registration Number

AF5457

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

LGT BANK AG

Regulated Activity

Type 1: dealing in securities

Effective Period

18 Dec 2019 - 12 Nov 2021

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

18 Dec 2019 - 12 Nov 2021

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 9: asset management

Effective Period

18 Dec 2019 - 12 Nov 2021

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UNION BANCAIRE PRIVÉE, UBP SA

Regulated Activity

Type 9: asset management

Effective Period

29 Mar 2018 - 23 Oct 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UNION BANCAIRE PRIVÉE, UBP SA

Regulated Activity

Type 1: dealing in securities

Effective Period

11 Apr 2016 - 23 Oct 2019

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

11 Apr 2016 - 23 Oct 2019

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

COUTTS & CO AG

Regulated Activity

Type 1: dealing in securities

Effective Period

20 Nov 2012 - 08 Apr 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

COUTTS & CO AG

Regulated Activity

Type 4: advising on securities

Effective Period

20 Nov 2012 - 08 Apr 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

NATIXIS

Regulated Activity

Type 1: dealing in securities

Effective Period

28 Mar 2012 - 26 Sep 2012

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

NATIXIS

Regulated Activity

Type 4: advising on securities

Effective Period

28 Mar 2012 - 26 Sep 2012

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

WU, KE ISABELLA

:

Chinese Name of Relevant Individual

吳柯

:

HKMA Registration Number

AF5457

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AF5457

LGT BANK AG

Type 1: dealing in securities

18 Dec 2019 - 12 Nov 2021

No

AF5457

LGT BANK AG

Type 4: advising on securities

18 Dec 2019 - 12 Nov 2021

No

AF5457

LGT BANK AG

Type 9: asset management

18 Dec 2019 - 12 Nov 2021

No

AF5457

UNION BANCAIRE PRIVÉE, UBP SA

Type 9: asset management

29 Mar 2018 - 23 Oct 2019

No

AF5457

UNION BANCAIRE PRIVÉE, UBP SA

Type 1: dealing in securities

11 Apr 2016 - 23 Oct 2019

No

AF5457

UNION BANCAIRE PRIVÉE, UBP SA

Type 4: advising on securities

11 Apr 2016 - 23 Oct 2019

No

AF5457

COUTTS & CO AG

Type 1: dealing in securities

20 Nov 2012 - 08 Apr 2016

No

AF5457

COUTTS & CO AG

Type 4: advising on securities

20 Nov 2012 - 08 Apr 2016

No

AF5457

NATIXIS

Type 1: dealing in securities

28 Mar 2012 - 26 Sep 2012

No

AF5457

NATIXIS

Type 4: advising on securities

28 Mar 2012 - 26 Sep 2012

No