Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KWOK WAH DARYL
Chinese Name of Relevant Individual
HKMA Registration Number
AF2302
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 May 2016 - 17 May 2016
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 May 2016 - 17 May 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
03 Oct 2013 - 23 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
03 Oct 2013 - 23 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
06 Aug 2011 - 13 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
06 Aug 2011 - 13 Sep 2012
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
CHAN, KWOK WAH DARYL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2302
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2302
UBS AG
Type 1: dealing in securities
09 May 2016 - 17 May 2016
No
AF2302
UBS AG
Type 4: advising on securities
09 May 2016 - 17 May 2016
No
AF2302
UBS AG
Type 1: dealing in securities
03 Oct 2013 - 23 Mar 2016
No
AF2302
UBS AG
Type 7: providing automated trading services
03 Oct 2013 - 23 Mar 2016
No
AF2302
UBS AG
Type 1: dealing in securities
06 Aug 2011 - 13 Sep 2012
No
AF2302
UBS AG
Type 7: providing automated trading services
06 Aug 2011 - 13 Sep 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.