Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, KELLY KWOK YUN
Chinese Name of Relevant Individual
何國恩
HKMA Registration Number
AA1699
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
31 May 2024 - 22 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 22 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2009 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jun 2009 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2004 - 14 Apr 2009
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 - 22 Aug 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 - 22 Aug 2004
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
HO, KELLY KWOK YUN
:
Chinese Name of Relevant Individual
何國恩
:
HKMA Registration Number
AA1699
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1699
UBS AG
Type 1: dealing in securities
31 May 2024 - 22 May 2026
No
AA1699
UBS AG
Type 4: advising on securities
31 May 2024 - 22 May 2026
No
AA1699
CREDIT SUISSE AG
Type 1: dealing in securities
03 Jun 2009 - 31 May 2024
No
AA1699
CREDIT SUISSE AG
Type 4: advising on securities
03 Jun 2009 - 31 May 2024
No
AA1699
UBS AG
Type 1: dealing in securities
16 Aug 2004 - 14 Apr 2009
No
AA1699
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 22 Aug 2004
No
AA1699
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 22 Aug 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.