Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SIN, HO KAI
Chinese Name of Relevant Individual
單皓楷
HKMA Registration Number
AH5984
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
07 Jun 2023 - 20 Dec 2024
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
07 Jun 2023 - 20 Dec 2024
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
07 Jun 2023 - 20 Dec 2024
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
07 Jun 2023 - 20 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
Effective Period
07 Jun 2023 - 20 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2021 - 22 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Oct 2021 - 22 May 2023
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
06 May 2019 - 04 Oct 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
06 May 2019 - 04 Oct 2021
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
05 Oct 2017 - 05 May 2019
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
05 Oct 2017 - 05 May 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
SIN, HO KAI
:
Chinese Name of Relevant Individual
單皓楷
:
HKMA Registration Number
AH5984
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5984
LGT BANK AG
Type 1: dealing in securities
07 Jun 2023 - 20 Dec 2024
No
AH5984
LGT BANK AG
Type 2: dealing in futures contracts
07 Jun 2023 - 20 Dec 2024
No
AH5984
LGT BANK AG
Type 4: advising on securities
07 Jun 2023 - 20 Dec 2024
No
AH5984
LGT BANK AG
Type 5: advising on futures contracts
07 Jun 2023 - 20 Dec 2024
No
AH5984
LGT BANK AG
Type 9: asset management
07 Jun 2023 - 20 Dec 2024
No
AH5984
UBS AG
Type 1: dealing in securities
22 Oct 2021 - 22 May 2023
No
AH5984
UBS AG
Type 4: advising on securities
22 Oct 2021 - 22 May 2023
No
AH5984
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 May 2019 - 04 Oct 2021
No
AH5984
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 May 2019 - 04 Oct 2021
No
AH5984
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
05 Oct 2017 - 05 May 2019
No
AH5984
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
05 Oct 2017 - 05 May 2019
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.