Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
RATTANATAM, THEWINTA
Chinese Name of Relevant Individual
HKMA Registration Number
AF6515
Other HKMA Registration Number(s)
AD8583
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
08 Jan 2020 - 23 Oct 2024
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
08 Jan 2020 - 23 Oct 2024
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
12 Nov 2016 - 11 Oct 2019
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
12 Nov 2016 - 11 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jan 2014 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2012 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2008 - 21 Apr 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
RATTANATAM, THEWINTA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6515
:
Other HKMA Registration Number(s)
AD8583
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6515
LGT BANK AG
Type 1: dealing in securities
08 Jan 2020 - 23 Oct 2024
No
AF6515
LGT BANK AG
Type 4: advising on securities
08 Jan 2020 - 23 Oct 2024
No
AF6515
CREDIT SUISSE AG
Type 1: dealing in securities
12 Nov 2016 - 11 Oct 2019
No
AF6515
CREDIT SUISSE AG
Type 4: advising on securities
12 Nov 2016 - 11 Oct 2019
No
AF6515
UBS AG
Type 4: advising on securities
07 Jan 2014 - 30 Sep 2016
No
AF6515
UBS AG
Type 1: dealing in securities
13 Jul 2012 - 30 Sep 2016
No
AD8583
UBS AG
Type 1: dealing in securities
24 Apr 2008 - 21 Apr 2009
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.