Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, XIE
Chinese Name of Relevant Individual
何諧
HKMA Registration Number
AF1612
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
16 Jun 2011 - 01 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jun 2011 - 01 Aug 2012
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
16 Jun 2011 - 01 Aug 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, XIE
:
Chinese Name of Relevant Individual
何諧
:
HKMA Registration Number
AF1612
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1612
UBS AG
Type 1: dealing in securities
16 Jun 2011 - 01 Aug 2012
No
AF1612
UBS AG
Type 4: advising on securities
16 Jun 2011 - 01 Aug 2012
No
AF1612
UBS AG
Type 6: advising on corporate finance
16 Jun 2011 - 01 Aug 2012
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.