Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAM, MAVIS
Chinese Name of Relevant Individual
岑惠雯
HKMA Registration Number
AH0836
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
02 Dec 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
Remarks
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Dec 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT RELATIONSHIP ASSOCIATE
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 1: dealing in securities
Effective Period
Since 02 Dec 2021
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
Since 02 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2017 - 23 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2017 - 23 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2016 - 06 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2016 - 06 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Mar 2016 - 04 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Mar 2016 - 04 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SHAM, MAVIS
:
Chinese Name of Relevant Individual
岑惠雯
:
HKMA Registration Number
AH0836
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
02 Dec 2021
No
CLIENT RELATIONSHIP ASSOCIATE
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
02 Dec 2021
No
CLIENT RELATIONSHIP ASSOCIATE
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)
AH0836
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
Since 02 Dec 2021
No
AH0836
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
Since 02 Dec 2021
No
AH0836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Jan 2017 - 23 Jun 2021
No
AH0836
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Jan 2017 - 23 Jun 2021
No
AH0836
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Apr 2016 - 06 Oct 2016
No
AH0836
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Apr 2016 - 06 Oct 2016
No
AH0836
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Mar 2016 - 04 Apr 2016
No
AH0836
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Mar 2016 - 04 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.