Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JAIN, KHUSHBOO SUSHIL
Chinese Name of Relevant Individual
HKMA Registration Number
AG3702
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
14 Mar 2023
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
14 Mar 2023
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 14 Mar 2023
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 14 Mar 2023
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
26 Apr 2016 - 04 Oct 2019
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
26 Apr 2016 - 04 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2015 - 08 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jun 2015 - 08 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2014 - 11 Nov 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
13 Jun 2014 - 11 Nov 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
JAIN, KHUSHBOO SUSHIL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3702
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
14 Mar 2023
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
14 Mar 2023
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)
AG3702
LGT BANK AG
Type 1: dealing in securities
Since 14 Mar 2023
No
AG3702
LGT BANK AG
Type 4: advising on securities
Since 14 Mar 2023
No
AG3702
CREDIT SUISSE AG
Type 1: dealing in securities
26 Apr 2016 - 04 Oct 2019
No
AG3702
CREDIT SUISSE AG
Type 4: advising on securities
26 Apr 2016 - 04 Oct 2019
No
AG3702
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
11 Jun 2015 - 08 Mar 2016
No
AG3702
BANK OF CHINA INTERNATIONAL LIMITED
Type 4: advising on securities
11 Jun 2015 - 08 Mar 2016
No
AG3702
UBS AG
Type 1: dealing in securities
13 Jun 2014 - 11 Nov 2014
No
AG3702
UBS AG
Type 4: advising on securities
13 Jun 2014 - 11 Nov 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.