Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, KAR FAI
Chinese Name of Relevant Individual
廖嘉輝
HKMA Registration Number
AG1512
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2016 - 31 Aug 2016
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
11 Apr 2016 - 31 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 08 Apr 2016
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
LIU, KAR FAI
:
Chinese Name of Relevant Individual
廖嘉輝
:
HKMA Registration Number
AG1512
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1512
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016 - 31 Aug 2016
No
AG1512
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016 - 31 Aug 2016
No
AG1512
COUTTS & CO AG
Type 1: dealing in securities
01 Nov 2013 - 08 Apr 2016
No
AG1512
COUTTS & CO AG
Type 4: advising on securities
01 Nov 2013 - 08 Apr 2016
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.