Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAI, QIAO
Chinese Name of Relevant Individual
蔡喬
HKMA Registration Number
AG0756
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
UNICREDIT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2018 - 24 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNICREDIT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2018 - 24 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2014 - 20 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2013 - 15 Aug 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CAI, QIAO
:
Chinese Name of Relevant Individual
蔡喬
:
HKMA Registration Number
AG0756
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0756
UNICREDIT BANK AG
Type 4: advising on securities
20 Oct 2018 - 24 Feb 2021
No
AG0756
UNICREDIT BANK AG
Type 1: dealing in securities
17 Oct 2018 - 24 Feb 2021
No
AG0756
SOCIETE GENERALE
Type 1: dealing in securities
30 Oct 2014 - 20 Jul 2018
No
AG0756
SOCIETE GENERALE
Type 1: dealing in securities
24 Aug 2013 - 15 Aug 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.