Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, BARRY
Chinese Name of Relevant Individual
謝宇聰
HKMA Registration Number
AF3757
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
07 Nov 2017 - 12 Jul 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
07 Nov 2017 - 12 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2011 - 04 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2011 - 04 Aug 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
TSE, BARRY
:
Chinese Name of Relevant Individual
謝宇聰
:
HKMA Registration Number
AF3757
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3757
UBS AG
Type 1: dealing in securities
07 Nov 2017 - 12 Jul 2024
No
AF3757
UBS AG
Type 4: advising on securities
07 Nov 2017 - 12 Jul 2024
No
AF3757
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
10 Nov 2011 - 04 Aug 2017
No
AF3757
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
10 Nov 2011 - 04 Aug 2017
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.