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XIE, CHAO

謝超
HKMA AI4359HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

XIE, CHAO (HKMA registration number AI4359) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at UNITED OVERSEAS BANK LIMITED. Has been engaged at 2 authorized institutions over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
UNITED OVERSEAS BANK LIMITEDRA 1 Type 1: dealing in securitiesYesEXECUTIVE DIRECTOR2020-05-12
UNITED OVERSEAS BANK LIMITEDRA 4 Type 4: advising on securitiesYesEXECUTIVE DIRECTOR2020-05-12
UNITED OVERSEAS BANK LIMITEDRA 6 Type 6: advising on corporate financeYesEXECUTIVE DIRECTOR2024-12-05

Business Address

Registered InstitutionSFC CE No.Address
UNITED OVERSEAS BANK LIMITEDAAK84028/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 (3)

2024-12-05 – present Current
UNITED OVERSEAS BANK LIMITED Executive Officer
RA 6
2024-06-14 – present Current
UNITED OVERSEAS BANK LIMITED Executive Officer
RA 1 RA 4
2020-05-12 – 2024-06-13
UNITED OVERSEAS BANK LTD.
RA 1 RA 4

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AI4359