Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, WING YIN QUEENIE
Chinese Name of Relevant Individual
譚穎賢
HKMA Registration Number
AF8063
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
21 Sep 2018
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
21 Sep 2018
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 21 Sep 2018
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 21 Sep 2018
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
15 Sep 2018
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
15 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
19 May 2017 - 04 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
19 May 2017 - 04 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2014 - 24 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2012 - 27 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2012 - 27 Sep 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
TAM, WING YIN QUEENIE
:
Chinese Name of Relevant Individual
譚穎賢
:
HKMA Registration Number
AF8063
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
21 Sep 2018
No
CLIENT RELATIONSHIP ASSOCIATE
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
21 Sep 2018
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)
AF8063
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 21 Sep 2018
No
AF8063
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 21 Sep 2018
No
AF8063
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
15 Sep 2018
No
AF8063
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
15 Sep 2018
No
AF8063
BNP PARIBAS
Type 1: dealing in securities
19 May 2017 - 04 Sep 2018
No
AF8063
BNP PARIBAS
Type 4: advising on securities
19 May 2017 - 04 Sep 2018
No
AF8063
UBS AG
Type 1: dealing in securities
07 Nov 2014 - 24 Mar 2017
No
AF8063
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 Nov 2012 - 27 Sep 2014
No
AF8063
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 Nov 2012 - 27 Sep 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.