Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HU, FRANK
Chinese Name of Relevant Individual
胡以達
HKMA Registration Number
AA1687
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 1: dealing in securities
Effective Period
13 Mar 2007 - 19 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2007 - 19 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
06 Dec 2011 - 11 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2005 - 21 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
13 Dec 2003 - 21 Dec 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 - 06 Oct 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 - 06 Oct 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
HU, FRANK
:
Chinese Name of Relevant Individual
胡以達
:
HKMA Registration Number
AA1687
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1687
UBS AG
Type 1: dealing in securities
13 Mar 2007 - 19 Jan 2016
No
AA1687
UBS AG
Type 4: advising on securities
13 Mar 2007 - 19 Jan 2016
No
AA1687
UBS AG
Type 7: providing automated trading services
06 Dec 2011 - 11 Jan 2016
No
AA1687
BARCLAYS BANK PLC
Type 1: dealing in securities
18 Nov 2005 - 21 Dec 2006
No
AA1687
BARCLAYS BANK PLC
Type 4: advising on securities
13 Dec 2003 - 21 Dec 2006
No
AA1687
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Oct 2003
No
AA1687
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Oct 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.