Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
THOMAS, REBECCA JUDITH
Chinese Name of Relevant Individual
HKMA Registration Number
AF7823
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
26 Nov 2024 - 29 Nov 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
26 Nov 2024 - 29 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2022
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 Dec 2016 - 09 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Dec 2016 - 09 Apr 2021
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 Dec 2016 - 09 Apr 2021
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 Oct 2012 - 27 Jul 2016
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
THOMAS, REBECCA JUDITH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7823
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7823
UBS AG
Type 1: dealing in securities
26 Nov 2024 - 29 Nov 2024
No
AF7823
UBS AG
Type 4: advising on securities
26 Nov 2024 - 29 Nov 2024
No
AF7823
UBS AG
Type 1: dealing in securities
16 Nov 2022
No
AF7823
UBS AG
Type 4: advising on securities
16 Nov 2022
No
AF7823
UBS AG
Type 1: dealing in securities
03 Dec 2016 - 09 Apr 2021
No
AF7823
UBS AG
Type 4: advising on securities
03 Dec 2016 - 09 Apr 2021
No
AF7823
UBS AG
Type 7: providing automated trading services
03 Dec 2016 - 09 Apr 2021
No
AF7823
UBS AG
Type 1: dealing in securities
17 Oct 2012 - 27 Jul 2016
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.