Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAY, WUAN CHISN KELVIN
Chinese Name of Relevant Individual
HKMA Registration Number
AG0198
Other HKMA Registration Number(s)
AE7689
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
14 Nov 2025 - 21 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Nov 2025 - 21 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2025 - 16 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jul 2025 - 16 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2025 - 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2025 - 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2024 - 16 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
12 Jul 2024 - 16 Jul 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
24 May 2024 - 30 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
24 May 2024 - 30 May 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
05 Apr 2019 - 12 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Apr 2019 - 12 Apr 2019
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 Jan 2019 - 11 Jan 2019
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 Jan 2019 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2018 - 12 Jan 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 30
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, WUAN CHISN KELVIN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0198
:
Other HKMA Registration Number(s)
AE7689
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0198
UBS AG
Type 1: dealing in securities
14 Nov 2025 - 21 Nov 2025
No
AG0198
UBS AG
Type 4: advising on securities
14 Nov 2025 - 21 Nov 2025
No
AG0198
UBS AG
Type 1: dealing in securities
15 Jul 2025 - 16 Jul 2025
No
AG0198
UBS AG
Type 4: advising on securities
15 Jul 2025 - 16 Jul 2025
No
AG0198
UBS AG
Type 1: dealing in securities
23 May 2025 - 30 May 2025
No
AG0198
UBS AG
Type 4: advising on securities
23 May 2025 - 30 May 2025
No
AG0198
UBS AG
Type 1: dealing in securities
12 Jul 2024 - 16 Jul 2024
No
AG0198
UBS AG
Type 4: advising on securities
12 Jul 2024 - 16 Jul 2024
No
AG0198
UBS AG
Type 1: dealing in securities
24 May 2024 - 30 May 2024
No
AG0198
UBS AG
Type 4: advising on securities
24 May 2024 - 30 May 2024
No
AG0198
UBS AG
Type 1: dealing in securities
05 Apr 2019 - 12 Apr 2019
No
AG0198
UBS AG
Type 4: advising on securities
05 Apr 2019 - 12 Apr 2019
No
AG0198
UBS AG
Type 1: dealing in securities
07 Jan 2019 - 11 Jan 2019
No
AG0198
UBS AG
Type 4: advising on securities
07 Jan 2019 - 11 Jan 2019
No
AG0198
UBS AG
Type 1: dealing in securities
09 Jan 2018 - 12 Jan 2018
No
AG0198
UBS AG
Type 4: advising on securities
09 Jan 2018 - 12 Jan 2018
No
AG0198
UBS AG
Type 1: dealing in securities
05 Sep 2017 - 21 Sep 2017
No
AG0198
UBS AG
Type 4: advising on securities
05 Sep 2017 - 21 Sep 2017
No
AG0198
UBS AG
Type 1: dealing in securities
23 Oct 2014 - 24 Oct 2014
No
AG0198
UBS AG
Type 4: advising on securities
23 Oct 2014 - 24 Oct 2014
No
AG0198
UBS AG
Type 1: dealing in securities
04 Jun 2014 - 06 Jun 2014
No
AG0198
UBS AG
Type 4: advising on securities
04 Jun 2014 - 06 Jun 2014
No
AG0198
UBS AG
Type 1: dealing in securities
04 Sep 2013 - 06 Sep 2013
No
AG0198
UBS AG
Type 4: advising on securities
04 Sep 2013 - 06 Sep 2013
No
AG0198
UBS AG
Type 1: dealing in securities
26 Aug 2013 - 28 Aug 2013
No
AG0198
UBS AG
Type 4: advising on securities
26 Aug 2013 - 28 Aug 2013
No
AG0198
UBS AG
Type 1: dealing in securities
02 Jul 2013 - 05 Jul 2013
No
AG0198
UBS AG
Type 4: advising on securities
02 Jul 2013 - 05 Jul 2013
No
AE7689
UBS AG
Type 1: dealing in securities
24 Aug 2010 - 27 Aug 2010
No
AE7689
UBS AG
Type 4: advising on securities
24 Aug 2010 - 27 Aug 2010
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.
