Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, ZHUODA
Chinese Name of Relevant Individual
何卓妲
HKMA Registration Number
AI2096
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jul 2023 - 03 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jul 2023 - 03 Mar 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
10 Jul 2019 - 30 Apr 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
10 Jul 2019 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
HE, ZHUODA
:
Chinese Name of Relevant Individual
何卓妲
:
HKMA Registration Number
AI2096
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2096
EFG BANK AG
Type 1: dealing in securities
19 Jul 2023 - 03 Mar 2024
No
AI2096
EFG BANK AG
Type 4: advising on securities
19 Jul 2023 - 03 Mar 2024
No
AI2096
UBS AG
Type 1: dealing in securities
10 Jul 2019 - 30 Apr 2021
No
AI2096
UBS AG
Type 4: advising on securities
10 Jul 2019 - 30 Apr 2021
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.