Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, TSZ KIU CHERRY
Chinese Name of Relevant Individual
李紫喬
HKMA Registration Number
AF7514
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
SFC CE number
ABZ544
Business Address
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Jun 2025
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
Since 11 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 May 2023 - 06 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 May 2023 - 06 Jun 2025
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
19 Aug 2017 - 19 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Mar 2017 - 19 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2015 - 19 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2015 - 19 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2012 - 03 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Sep 2012 - 03 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
27 Sep 2012 - 03 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
LI, TSZ KIU CHERRY
:
Chinese Name of Relevant Individual
李紫喬
:
HKMA Registration Number
AF7514
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Jun 2025
No
CLIENT RELATIONSHIP ASSOCIATE
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Jun 2025
No
CLIENT RELATIONSHIP ASSOCIATE
Name of Registered Institution
SFC CE number
Business Address
UNION BANCAIRE PRIVÉE, UBP SA
ABZ544
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7514
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 11 Jun 2025
No
AF7514
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 11 Jun 2025
No
AF7514
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
30 May 2023 - 06 Jun 2025
No
AF7514
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
30 May 2023 - 06 Jun 2025
No
AF7514
EFG BANK AG
Type 4: advising on securities
19 Aug 2017 - 19 May 2020
No
AF7514
EFG BANK AG
Type 1: dealing in securities
24 Mar 2017 - 19 May 2020
No
AF7514
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
23 May 2015 - 19 Mar 2017
No
AF7514
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
23 May 2015 - 19 Mar 2017
No
AF7514
HANG SENG BANK, LIMITED
Type 1: dealing in securities
27 Sep 2012 - 03 May 2014
No
AF7514
HANG SENG BANK, LIMITED
Type 4: advising on securities
27 Sep 2012 - 03 May 2014
No
AF7514
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
27 Sep 2012 - 03 May 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.