Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHIA, JOSEPH KUOK LIT
Chinese Name of Relevant Individual
HKMA Registration Number
AC5717
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
26 Feb 2019 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2005 - 30 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 May 2005 - 30 Sep 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 May 2005 - 30 Sep 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CHIA, JOSEPH KUOK LIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC5717
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5717
UBS AG
Type 1: dealing in securities
26 Feb 2019 - 28 Feb 2019
No
AC5717
UBS AG
Type 1: dealing in securities
26 May 2005 - 30 Sep 2006
No
AC5717
UBS AG
Type 4: advising on securities
26 May 2005 - 30 Sep 2006
No
AC5717
UBS AG
Type 6: advising on corporate finance
26 May 2005 - 30 Sep 2006
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.