Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAO, HAO SHIANG
Chinese Name of Relevant Individual
趙浩祥
HKMA Registration Number
AG1330
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2023 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jan 2023 - 13 Jun 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
13 Jan 2021 - 21 Oct 2022
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
13 Jan 2021 - 21 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 May 2017 - 06 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
09 May 2017 - 06 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2015 - 18 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2015 - 18 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2013 - 14 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Oct 2013 - 14 Dec 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
CHAO, HAO SHIANG
:
Chinese Name of Relevant Individual
趙浩祥
:
HKMA Registration Number
AG1330
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1330
UBS AG
Type 1: dealing in securities
19 Jan 2023 - 13 Jun 2024
No
AG1330
UBS AG
Type 4: advising on securities
19 Jan 2023 - 13 Jun 2024
No
AG1330
CREDIT SUISSE AG
Type 1: dealing in securities
13 Jan 2021 - 21 Oct 2022
No
AG1330
CREDIT SUISSE AG
Type 4: advising on securities
13 Jan 2021 - 21 Oct 2022
No
AG1330
CITIBANK, N.A.
Type 1: dealing in securities
09 May 2017 - 06 Dec 2020
No
AG1330
CITIBANK, N.A.
Type 4: advising on securities
09 May 2017 - 06 Dec 2020
No
AG1330
BANK SINOPAC
Type 1: dealing in securities
04 Aug 2015 - 18 Jan 2017
No
AG1330
BANK SINOPAC
Type 4: advising on securities
04 Aug 2015 - 18 Jan 2017
No
AG1330
UBS AG
Type 1: dealing in securities
16 Oct 2013 - 14 Dec 2014
No
AG1330
UBS AG
Type 4: advising on securities
16 Oct 2013 - 14 Dec 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.