Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KO, YAT SZE
Chinese Name of Relevant Individual
高逸詩
HKMA Registration Number
AA1673
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
11 May 2016
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER GFIW
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 11 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2014 - 24 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2014 - 24 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jul 2013 - 28 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2012 - 12 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2012 - 12 Jul 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS PRIVATE BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Apr 2007 - 26 Jun 2008
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
17 Sep 2006 - 22 Mar 2007
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
17 Sep 2006 - 22 Mar 2007
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
05 Sep 2006 - 13 Sep 2006
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
05 Sep 2006 - 13 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2006 - 23 Mar 2006
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 - 04 Mar 2004
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 - 04 Mar 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
KO, YAT SZE
:
Chinese Name of Relevant Individual
高逸詩
:
HKMA Registration Number
AA1673
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
11 May 2016
No
CLIENT ACCOUNT MANAGER GFIW
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)
AA1673
UBS AG
Type 1: dealing in securities
Since 11 May 2016
No
AA1673
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
06 Mar 2014 - 24 Apr 2016
No
AA1673
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
06 Mar 2014 - 24 Apr 2016
No
AA1673
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
16 Jul 2013 - 28 Feb 2014
No
AA1673
BSI LTD
Type 1: dealing in securities
12 Mar 2012 - 12 Jul 2013
No
AA1673
BSI LTD
Type 4: advising on securities
12 Mar 2012 - 12 Jul 2013
No
AA1673
BNP PARIBAS PRIVATE BANK
Type 1: dealing in securities
10 Apr 2007 - 26 Jun 2008
No
AA1673
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2006 - 22 Mar 2007
No
AA1673
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2006 - 22 Mar 2007
No
AA1673
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Sep 2006 - 13 Sep 2006
No
AA1673
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Sep 2006 - 13 Sep 2006
No
AA1673
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
05 Jan 2006 - 23 Mar 2006
No
AA1673
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 04 Mar 2004
No
AA1673
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 04 Mar 2004
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.