Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAI, CHIEN-KUO
Chinese Name of Relevant Individual
蔡建國
HKMA Registration Number
AF2161
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
03 Sep 2015
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIUM ADVISORY SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Sep 2015
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIUM ADVISORY SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 03 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 03 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
03 Sep 2015 - 07 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2013 - 07 Jan 2015
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
27 Jul 2011 - 22 May 2013
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
27 Jul 2011 - 22 May 2013
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
TSAI, CHIEN-KUO
:
Chinese Name of Relevant Individual
蔡建國
:
HKMA Registration Number
AF2161
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Sep 2015
No
PREMIUM ADVISORY SPECIALIST
UBS AG
Type 4: advising on securities
03 Sep 2015
No
PREMIUM ADVISORY SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2161
UBS AG
Type 1: dealing in securities
Since 03 Sep 2015
No
AF2161
UBS AG
Type 4: advising on securities
Since 03 Sep 2015
No
AF2161
UBS AG
Type 9: asset management
03 Sep 2015 - 07 Dec 2016
No
AF2161
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Aug 2013 - 07 Jan 2015
No
AF2161
COUTTS & CO AG
Type 1: dealing in securities
27 Jul 2011 - 22 May 2013
No
AF2161
COUTTS & CO AG
Type 4: advising on securities
27 Jul 2011 - 22 May 2013
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.