Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAI, CHIU NAM
Chinese Name of Relevant Individual
戴俏嵐
HKMA Registration Number
AA1432
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 May 2014
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
27 May 2014
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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 1: dealing in securities
Effective Period
Since 27 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 14 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 14 Apr 2014
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
02 Jun 2005 - 06 Jul 2005
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
02 Jun 2005 - 06 Jul 2005
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
03 Sep 2003 - 26 May 2005
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
03 Sep 2003 - 26 May 2005
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 - 28 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 - 28 Aug 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
TAI, CHIU NAM
:
Chinese Name of Relevant Individual
戴俏嵐
:
HKMA Registration Number
AA1432
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
27 May 2014
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
27 May 2014
No
CLIENT ADVISOR WM
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1432
UBS AG
Type 1: dealing in securities
Since 27 May 2014
No
AA1432
UBS AG
Type 4: advising on securities
Since 27 May 2014
No
AA1432
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 14 Apr 2014
No
AA1432
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 14 Apr 2014
No
AA1432
CITIBANK, N.A.
Type 1: dealing in securities
02 Jun 2005 - 06 Jul 2005
No
AA1432
CITIBANK, N.A.
Type 4: advising on securities
02 Jun 2005 - 06 Jul 2005
No
AA1432
CITIBANK, N.A.
Type 1: dealing in securities
03 Sep 2003 - 26 May 2005
No
AA1432
CITIBANK, N.A.
Type 4: advising on securities
03 Sep 2003 - 26 May 2005
No
AA1432
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 28 Aug 2003
No
AA1432
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 28 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.