Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, XIAOQIN
Chinese Name of Relevant Individual
吳晓琴
HKMA Registration Number
AG6202
Other HKMA Registration Number(s)
AG9384
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2024 - 18 Jul 2025
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
05 Jul 2024 - 18 Jul 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
03 Sep 2020 - 24 Apr 2024
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
03 Sep 2020 - 24 Apr 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2015 - 10 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Oct 2015 - 10 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2015 - 24 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
WU, XIAOQIN
:
Chinese Name of Relevant Individual
吳晓琴
:
HKMA Registration Number
AG6202
:
Other HKMA Registration Number(s)
AG9384
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9384
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
05 Jul 2024 - 18 Jul 2025
No
AG9384
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
05 Jul 2024 - 18 Jul 2025
No
AG9384
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 Sep 2020 - 24 Apr 2024
No
AG9384
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
03 Sep 2020 - 24 Apr 2024
No
AG9384
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Oct 2015 - 10 Jul 2020
No
AG9384
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Oct 2015 - 10 Jul 2020
No
AG6202
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
21 Jan 2015 - 24 Sep 2015
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.