Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, KAM WING ALEX
Chinese Name of Relevant Individual
黎錦榮
HKMA Registration Number
AG4804
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Jul 2016
Is an Executive Officer? (Yes / No)
No
Capacity
FX SALES
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Sep 2019
Is an Executive Officer? (Yes / No)
No
Capacity
FX SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
SFC CE number
ABZ544
Business Address
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, 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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 10 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 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
15 Jul 2016 - 16 Jan 2018
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
13 Apr 2016 - 14 Jul 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
13 Apr 2016 - 14 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 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
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
18 Sep 2014 - 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
18 Sep 2014 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LAI, KAM WING ALEX
:
Chinese Name of Relevant Individual
黎錦榮
:
HKMA Registration Number
AG4804
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
15 Jul 2016
No
FX SALES
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
10 Sep 2019
No
FX SALES
Name of Registered Institution
SFC CE number
Business Address
UNION BANCAIRE PRIVÉE, UBP SA
ABZ544
26/F, AIA CENTRAL, 1 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4804
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 10 Sep 2019
No
AG4804
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 15 Jul 2016
No
AG4804
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
15 Jul 2016 - 16 Jan 2018
No
AG4804
COUTTS & CO AG
Type 1: dealing in securities
13 Apr 2016 - 14 Jul 2016
No
AG4804
COUTTS & CO AG
Type 4: advising on securities
13 Apr 2016 - 14 Jul 2016
No
AG4804
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
11 Apr 2016
No
AG4804
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
11 Apr 2016
No
AG4804
COUTTS & CO AG
Type 1: dealing in securities
18 Sep 2014 - 08 Apr 2016
No
AG4804
COUTTS & CO AG
Type 4: advising on securities
18 Sep 2014 - 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.