Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GU, CHENGJIE
Chinese Name of Relevant Individual
顧承洁
HKMA Registration Number
AG6105
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
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2017 - 21 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2017 - 21 Jul 2020
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
14 Sep 2016 - 27 Sep 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
14 Sep 2016 - 27 Sep 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
14 Jan 2015 - 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
14 Jan 2015 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
GU, CHENGJIE
:
Chinese Name of Relevant Individual
顧承洁
:
HKMA Registration Number
AG6105
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6105
EFG BANK AG
Type 4: advising on securities
19 Aug 2017 - 21 Jul 2020
No
AG6105
EFG BANK AG
Type 1: dealing in securities
12 Jan 2017 - 21 Jul 2020
No
AG6105
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
14 Sep 2016 - 27 Sep 2016
No
AG6105
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
14 Sep 2016 - 27 Sep 2016
No
AG6105
COUTTS & CO AG
Type 1: dealing in securities
14 Jan 2015 - 08 Apr 2016
No
AG6105
COUTTS & CO AG
Type 4: advising on securities
14 Jan 2015 - 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.