Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHIH, JEN MING KENNETH
Chinese Name of Relevant Individual
石健明
HKMA Registration Number
AF4253
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
30 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER 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 30 Jan 2026
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 30 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jul 2014 - 14 Nov 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
29 Jul 2014 - 14 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
29 Jul 2014 - 07 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2012 - 23 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2012 - 23 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 9: asset management
Effective Period
01 Jan 2012 - 23 Oct 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
SHIH, JEN MING KENNETH
:
Chinese Name of Relevant Individual
石健明
:
HKMA Registration Number
AF4253
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
30 Jan 2026
No
RELATIONSHIP MANAGER WM
UBS AG
Type 4: advising on securities
30 Jan 2026
No
RELATIONSHIP MANAGER 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)
AF4253
UBS AG
Type 1: dealing in securities
Since 30 Jan 2026
No
AF4253
UBS AG
Type 4: advising on securities
Since 30 Jan 2026
No
AF4253
UBS AG
Type 1: dealing in securities
29 Jul 2014 - 14 Nov 2018
No
AF4253
UBS AG
Type 4: advising on securities
29 Jul 2014 - 14 Nov 2018
No
AF4253
UBS AG
Type 9: asset management
29 Jul 2014 - 07 Dec 2016
No
AF4253
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
01 Jan 2012 - 23 Oct 2013
No
AF4253
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
01 Jan 2012 - 23 Oct 2013
No
AF4253
HSBC PRIVATE BANK (SUISSE) SA
Type 9: asset management
01 Jan 2012 - 23 Oct 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.