Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, DAN
Chinese Name of Relevant Individual
成丹
HKMA Registration Number
AF9128
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
22 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
22 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 22 Aug 2025
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
Since 22 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 22 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2015 - 19 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2015 - 19 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2014 - 27 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2013 - 17 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 9: asset management
Effective Period
02 Mar 2013 - 17 Oct 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
CHENG, DAN
:
Chinese Name of Relevant Individual
成丹
:
HKMA Registration Number
AF9128
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
22 Aug 2025
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
22 Aug 2025
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
22 Aug 2025
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
22 Aug 2025
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9128
LGT BANK AG
Type 1: dealing in securities
Since 22 Aug 2025
No
AF9128
LGT BANK AG
Type 2: dealing in futures contracts
Since 22 Aug 2025
No
AF9128
LGT BANK AG
Type 4: advising on securities
Since 22 Aug 2025
No
AF9128
LGT BANK AG
Type 5: advising on futures contracts
Since 22 Aug 2025
No
AF9128
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Feb 2015 - 19 Aug 2025
No
AF9128
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Feb 2015 - 19 Aug 2025
No
AF9128
UBS AG
Type 1: dealing in securities
01 Nov 2014 - 27 Jan 2015
No
AF9128
CREDIT AGRICOLE (SUISSE) SA
Type 1: dealing in securities
02 Mar 2013 - 17 Oct 2014
No
AF9128
CREDIT AGRICOLE (SUISSE) SA
Type 9: asset management
02 Mar 2013 - 17 Oct 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.