Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAM, YUEN HAN, GRACE
Chinese Name of Relevant Individual
譚婉嫻
HKMA Registration Number
AA1427
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
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2014 - 11 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2003 - 11 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 14 Aug 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 14 Aug 2003
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
TAM, YUEN HAN, GRACE
:
Chinese Name of Relevant Individual
譚婉嫻
:
HKMA Registration Number
AA1427
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1427
UBS AG
Type 4: advising on securities
24 Jan 2014 - 11 Mar 2020
No
AA1427
UBS AG
Type 1: dealing in securities
08 Nov 2003 - 11 Mar 2020
No
AA1427
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 14 Aug 2003
No
AA1427
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 14 Aug 2003
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.