Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, ERNEST CARLTON
Chinese Name of Relevant Individual
鄭家團
HKMA Registration Number
AG5077
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BDO UNIBANK, INC.
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BDO UNIBANK, INC.
SFC CE number
AAL250
Business Address
SUITE 1001, 10TH FLOOR, CENTRAL TOWER, 28 QUEEN'S ROAD 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
BDO UNIBANK, INC.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Oct 2021 - 30 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Oct 2021 - 30 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Apr 2021 - 28 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
20 Apr 2021 - 28 Sep 2021
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
20 Apr 2021 - 28 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
20 Apr 2021 - 28 Sep 2021
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
29 Jun 2017 - 09 Apr 2021
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
29 Jun 2017 - 09 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2017 - 09 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2017 - 09 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2014 - 03 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
11 Oct 2014 - 03 Jan 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
CHENG, ERNEST CARLTON
:
Chinese Name of Relevant Individual
鄭家團
:
HKMA Registration Number
AG5077
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BDO UNIBANK, INC.
Type 1: dealing in securities
28 Aug 2025
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
BDO UNIBANK, INC.
AAL250
SUITE 1001, 10TH FLOOR, CENTRAL TOWER, 28 QUEEN'S ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5077
BDO UNIBANK, INC.
Type 1: dealing in securities
Since 28 Aug 2025
No
AG5077
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
27 Oct 2021 - 30 Sep 2024
No
AG5077
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
27 Oct 2021 - 30 Sep 2024
No
AG5077
LGT BANK AG
Type 1: dealing in securities
20 Apr 2021 - 28 Sep 2021
No
AG5077
LGT BANK AG
Type 2: dealing in futures contracts
20 Apr 2021 - 28 Sep 2021
No
AG5077
LGT BANK AG
Type 4: advising on securities
20 Apr 2021 - 28 Sep 2021
No
AG5077
LGT BANK AG
Type 5: advising on futures contracts
20 Apr 2021 - 28 Sep 2021
No
AG5077
CITIBANK, N.A.
Type 1: dealing in securities
29 Jun 2017 - 09 Apr 2021
No
AG5077
CITIBANK, N.A.
Type 4: advising on securities
29 Jun 2017 - 09 Apr 2021
No
AG5077
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
29 Jun 2017 - 09 Apr 2021
No
AG5077
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
29 Jun 2017 - 09 Apr 2021
No
AG5077
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
11 Oct 2014 - 03 Jan 2017
No
AG5077
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
11 Oct 2014 - 03 Jan 2017
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.