Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, ROSANNA
Chinese Name of Relevant Individual
邱韻蓓
HKMA Registration Number
AH2020
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Sep 2021 - 17 Feb 2025
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
29 Sep 2021 - 17 Feb 2025
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
29 Sep 2021 - 17 Feb 2025
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
29 Sep 2021 - 17 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2018 - 23 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2016 - 02 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2016 - 02 Jan 2018
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
YAU, ROSANNA
:
Chinese Name of Relevant Individual
邱韻蓓
:
HKMA Registration Number
AH2020
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2020
LGT BANK AG
Type 1: dealing in securities
29 Sep 2021 - 17 Feb 2025
No
AH2020
LGT BANK AG
Type 2: dealing in futures contracts
29 Sep 2021 - 17 Feb 2025
No
AH2020
LGT BANK AG
Type 4: advising on securities
29 Sep 2021 - 17 Feb 2025
No
AH2020
LGT BANK AG
Type 5: advising on futures contracts
29 Sep 2021 - 17 Feb 2025
No
AH2020
UBS AG
Type 1: dealing in securities
24 Jan 2018 - 23 Sep 2021
No
AH2020
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
12 Jul 2016 - 02 Jan 2018
No
AH2020
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
12 Jul 2016 - 02 Jan 2018
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.