Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGAI, CHO LAP
Chinese Name of Relevant Individual
倪祖立
HKMA Registration Number
AG8130
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Nov 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALES TRADER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2016 - 18 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CIMB BANK BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2016 - 18 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2015 - 12 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2015 - 12 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
NGAI, CHO LAP
:
Chinese Name of Relevant Individual
倪祖立
:
HKMA Registration Number
AG8130
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Nov 2018
No
SALES TRADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8130
UBS AG
Type 1: dealing in securities
Since 03 Nov 2018
No
AG8130
CIMB BANK BERHAD
Type 1: dealing in securities
27 Jul 2016 - 18 Sep 2017
No
AG8130
CIMB BANK BERHAD
Type 4: advising on securities
27 Jul 2016 - 18 Sep 2017
No
AG8130
COMMERZBANK AG
Type 1: dealing in securities
09 Jul 2015 - 12 Jul 2016
No
AG8130
COMMERZBANK AG
Type 4: advising on securities
09 Jul 2015 - 12 Jul 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.