Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIE, CHAO
Chinese Name of Relevant Individual
謝超
HKMA Registration Number
AI4359
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 May 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 May 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
05 Dec 2024
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNITED OVERSEAS BANK LIMITED
SFC CE number
AAK840
Business Address
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
UNITED OVERSEAS BANK LIMITED
Effective Date
05 Dec 2024
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
2
Registered Institution
UNITED OVERSEAS BANK LIMITED
Effective Date
05 Dec 2024
Description
For Type 6 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of UNITED OVERSEAS BANK LIMITED not subject to a similar condition.
3
Registered Institution
UNITED OVERSEAS BANK LIMITED
Effective Date
05 Dec 2024
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 05 Dec 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Jun 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Jun 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2020 - 13 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
12 May 2020 - 13 Jun 2024
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
XIE, CHAO
:
Chinese Name of Relevant Individual
謝超
:
HKMA Registration Number
AI4359
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
12 May 2020
Yes
EXECUTIVE DIRECTOR
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
12 May 2020
Yes
EXECUTIVE DIRECTOR
UNITED OVERSEAS BANK LIMITED
Type 6: advising on corporate finance
05 Dec 2024
Yes
EXECUTIVE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
UNITED OVERSEAS BANK LIMITED
AAK840
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
UNITED OVERSEAS BANK LIMITED
1
05 Dec 2024
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
UNITED OVERSEAS BANK LIMITED
2
05 Dec 2024
For Type 6 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of UNITED OVERSEAS BANK LIMITED not subject to a similar condition.
UNITED OVERSEAS BANK LIMITED
3
05 Dec 2024
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4359
UNITED OVERSEAS BANK LIMITED
Type 6: advising on corporate finance
Since 05 Dec 2024
Yes
AI4359
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 14 Jun 2024
Yes
AI4359
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 14 Jun 2024
Yes
AI4359
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
12 May 2020 - 13 Jun 2024
No
AI4359
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
12 May 2020 - 13 Jun 2024
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.