Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SU, CHARLES
Chinese Name of Relevant Individual

蘇宇欽
HKMA Registration Number
AA1441
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
16 Sep 2005
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
24 Jan 2014
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SU, CHARLES
:
Chinese Name of Relevant Individual
蘇宇欽
:
HKMA Registration Number
AA1441
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
16 Sep 2005
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
24 Jan 2014
No
CLIENT ADVISOR WM