Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, HAO
Chinese Name of Relevant Individual
何浩
HKMA Registration Number
AC8916
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
21 Jan 2022 - 13 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2022 - 13 Oct 2023
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
21 Jan 2022 - 13 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2006 - 30 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
31 Mar 2006 - 30 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Mar 2006 - 30 Jun 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HE, HAO
:
Chinese Name of Relevant Individual
何浩
:
HKMA Registration Number
AC8916
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8916
UBS AG
Type 1: dealing in securities
21 Jan 2022 - 13 Oct 2023
No
AC8916
UBS AG
Type 4: advising on securities
21 Jan 2022 - 13 Oct 2023
No
AC8916
UBS AG
Type 6: advising on corporate finance
21 Jan 2022 - 13 Oct 2023
No
AC8916
DBS BANK LTD.
Type 1: dealing in securities
31 Mar 2006 - 30 Jun 2007
No
AC8916
DBS BANK LTD.
Type 4: advising on securities
31 Mar 2006 - 30 Jun 2007
No
AC8916
DBS BANK LTD.
Type 6: advising on corporate finance
31 Mar 2006 - 30 Jun 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.