Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAY, THUAN TECK
Chinese Name of Relevant Individual
HKMA Registration Number
AF2776
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
02 Jun 2018 - 08 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2018 - 08 Jun 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
01 Feb 2018 - 09 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Feb 2018 - 09 Feb 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
17 Nov 2017 - 23 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Nov 2017 - 23 Nov 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
07 Sep 2017 - 21 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Sep 2017 - 21 Sep 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
04 Apr 2016 - 08 Apr 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
04 Apr 2016 - 08 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2012 - 11 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
04 Sep 2011 - 09 Sep 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
TAY, THUAN TECK
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2776
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2776
UBS AG
Type 1: dealing in securities
02 Jun 2018 - 08 Jun 2018
No
AF2776
UBS AG
Type 4: advising on securities
02 Jun 2018 - 08 Jun 2018
No
AF2776
UBS AG
Type 1: dealing in securities
01 Feb 2018 - 09 Feb 2018
No
AF2776
UBS AG
Type 4: advising on securities
01 Feb 2018 - 09 Feb 2018
No
AF2776
UBS AG
Type 1: dealing in securities
17 Nov 2017 - 23 Nov 2017
No
AF2776
UBS AG
Type 4: advising on securities
17 Nov 2017 - 23 Nov 2017
No
AF2776
UBS AG
Type 1: dealing in securities
07 Sep 2017 - 21 Sep 2017
No
AF2776
UBS AG
Type 4: advising on securities
07 Sep 2017 - 21 Sep 2017
No
AF2776
UBS AG
Type 1: dealing in securities
04 Apr 2016 - 08 Apr 2016
No
AF2776
UBS AG
Type 4: advising on securities
04 Apr 2016 - 08 Apr 2016
No
AF2776
BARCLAYS BANK PLC
Type 4: advising on securities
06 May 2012 - 11 May 2012
No
AF2776
BARCLAYS BANK PLC
Type 4: advising on securities
04 Sep 2011 - 09 Sep 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.