Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAU, SHUN YIN
Chinese Name of Relevant Individual
周信彥
HKMA Registration Number
AH9677
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2021 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2019 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Sep 2019 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2018 - 30 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMERZBANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Oct 2018 - 30 Jun 2019
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
CHAU, SHUN YIN
:
Chinese Name of Relevant Individual
周信彥
:
HKMA Registration Number
AH9677
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9677
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2021 - 31 May 2022
No
AH9677
UBS AG
Type 1: dealing in securities
11 Sep 2019 - 12 Aug 2021
No
AH9677
UBS AG
Type 4: advising on securities
11 Sep 2019 - 12 Aug 2021
No
AH9677
COMMERZBANK AG
Type 1: dealing in securities
17 Oct 2018 - 30 Jun 2019
No
AH9677
COMMERZBANK AG
Type 4: advising on securities
17 Oct 2018 - 30 Jun 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.