Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHOU, HE
Chinese Name of Relevant Individual
周赫
HKMA Registration Number
AF2540
Other HKMA Registration Number(s)
AF2015
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
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
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 31 May 2024
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 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
17 May 2014 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jan 2012 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
19 Aug 2011 - 31 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
18 Jul 2011 - 24 Aug 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
ZHOU, HE
:
Chinese Name of Relevant Individual
周赫
:
HKMA Registration Number
AF2540
:
Other HKMA Registration Number(s)
AF2015
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
31 May 2024
No
CLIENT ADVISOR WM
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)
AF2540
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AF2540
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AF2540
CREDIT SUISSE AG
Type 1: dealing in securities
26 Feb 2015 - 31 May 2024
No
AF2540
CREDIT SUISSE AG
Type 4: advising on securities
26 Feb 2015 - 31 May 2024
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
17 May 2014 - 06 Feb 2015
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
17 May 2014 - 06 Feb 2015
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
17 May 2014 - 06 Feb 2015
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
17 May 2014 - 06 Feb 2015
No
AF2540
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
03 Jan 2012 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
19 Aug 2011 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
19 Aug 2011 - 31 Oct 2013
No
AF2540
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
19 Aug 2011 - 31 Oct 2013
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
18 Jul 2011 - 24 Aug 2011
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
18 Jul 2011 - 24 Aug 2011
No
AF2015
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
18 Jul 2011 - 24 Aug 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.