Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MORAN, SETH JAMES EDWARD
Chinese Name of Relevant Individual
HKMA Registration Number
AF0490
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
05 Mar 2018 - 14 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2017 - 11 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2016 - 13 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2016 - 19 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2015 - 24 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2013 - 17 Feb 2015
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
13 Jun 2011 - 17 Jun 2011
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
17 Mar 2011 - 03 Apr 2011
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
MORAN, SETH JAMES EDWARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0490
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0490
UBS AG
Type 1: dealing in securities
05 Mar 2018 - 14 Mar 2018
No
AF0490
UBS AG
Type 1: dealing in securities
05 Jul 2017 - 11 Jul 2017
No
AF0490
UBS AG
Type 1: dealing in securities
11 Sep 2016 - 13 Sep 2016
No
AF0490
UBS AG
Type 1: dealing in securities
14 Mar 2016 - 19 Mar 2016
No
AF0490
UBS AG
Type 1: dealing in securities
19 Oct 2015 - 24 Oct 2015
No
AF0490
UBS AG
Type 1: dealing in securities
24 Aug 2013 - 17 Feb 2015
No
AF0490
BARCLAYS BANK PLC
Type 1: dealing in securities
13 Jun 2011 - 17 Jun 2011
No
AF0490
BARCLAYS BANK PLC
Type 1: dealing in securities
17 Mar 2011 - 03 Apr 2011
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.