Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, FERDINAND
Chinese Name of Relevant Individual
蘇平恩
HKMA Registration Number
AC7194
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
09 Jan 2016 - 07 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2016 - 07 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
09 Jan 2016 - 07 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2013 - 09 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Apr 2013 - 09 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2008 - 07 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2007 - 07 Dec 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2005 - 13 Aug 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SO, FERDINAND
:
Chinese Name of Relevant Individual
蘇平恩
:
HKMA Registration Number
AC7194
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7194
UBS AG
Type 1: dealing in securities
09 Jan 2016 - 07 Dec 2020
No
AC7194
UBS AG
Type 4: advising on securities
09 Jan 2016 - 07 Dec 2020
No
AC7194
UBS AG
Type 9: asset management
09 Jan 2016 - 07 Dec 2016
No
AC7194
COUTTS & CO AG
Type 1: dealing in securities
30 Apr 2013 - 09 Oct 2015
No
AC7194
COUTTS & CO AG
Type 4: advising on securities
30 Apr 2013 - 09 Oct 2015
No
AC7194
BNP PARIBAS
Type 4: advising on securities
09 Jan 2008 - 07 Dec 2009
No
AC7194
BNP PARIBAS
Type 1: dealing in securities
22 Oct 2007 - 07 Dec 2009
No
AC7194
UBS AG
Type 1: dealing in securities
15 Oct 2005 - 13 Aug 2007
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.