Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, YU-MING
Chinese Name of Relevant Individual
陳禹銘
HKMA Registration Number
AG4320
Other HKMA Registration Number(s)
AG1968
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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Sep 2024 - 05 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Sep 2024 - 05 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2021 - 06 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
22 Nov 2021 - 06 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2018 - 13 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
07 Dec 2018 - 13 Aug 2021
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
05 Aug 2014 - 10 Oct 2018
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
05 Aug 2014 - 10 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Dec 2013 - 22 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
13 Dec 2013 - 22 Apr 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
CHEN, YU-MING
:
Chinese Name of Relevant Individual
陳禹銘
:
HKMA Registration Number
AG4320
:
Other HKMA Registration Number(s)
AG1968
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4320
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
24 Sep 2024 - 05 Jun 2025
No
AG4320
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
24 Sep 2024 - 05 Jun 2025
No
AG4320
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Nov 2021 - 06 Jan 2023
No
AG4320
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
22 Nov 2021 - 06 Jan 2023
No
AG4320
BNP PARIBAS
Type 1: dealing in securities
07 Dec 2018 - 13 Aug 2021
No
AG4320
BNP PARIBAS
Type 4: advising on securities
07 Dec 2018 - 13 Aug 2021
No
AG4320
CREDIT SUISSE AG
Type 1: dealing in securities
05 Aug 2014 - 10 Oct 2018
No
AG4320
CREDIT SUISSE AG
Type 4: advising on securities
05 Aug 2014 - 10 Oct 2018
No
AG1968
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
13 Dec 2013 - 22 Apr 2014
No
AG1968
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
13 Dec 2013 - 22 Apr 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.