Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAI, PHILIP
Chinese Name of Relevant Individual
HKMA Registration Number
AG0305
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
24 Feb 2025 - 04 Mar 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
24 Feb 2025 - 04 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Feb 2025 - 04 Mar 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
04 Jul 2024 - 05 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
04 Jul 2024 - 05 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Jul 2024 - 05 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
17 Jun 2019 - 21 Jun 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
17 Jun 2019 - 21 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Jun 2019 - 21 Jun 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
26 Apr 2019 - 05 May 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
26 Apr 2019 - 05 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 Apr 2019 - 05 May 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
10 Aug 2018 - 17 Aug 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
10 Aug 2018 - 17 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Aug 2018 - 17 Aug 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
TSAI, PHILIP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0305
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0305
UBS AG
Type 1: dealing in securities
24 Feb 2025 - 04 Mar 2025
No
AG0305
UBS AG
Type 4: advising on securities
24 Feb 2025 - 04 Mar 2025
No
AG0305
UBS AG
Type 6: advising on corporate finance
24 Feb 2025 - 04 Mar 2025
No
AG0305
UBS AG
Type 1: dealing in securities
04 Jul 2024 - 05 Jul 2024
No
AG0305
UBS AG
Type 4: advising on securities
04 Jul 2024 - 05 Jul 2024
No
AG0305
UBS AG
Type 6: advising on corporate finance
04 Jul 2024 - 05 Jul 2024
No
AG0305
UBS AG
Type 1: dealing in securities
17 Jun 2019 - 21 Jun 2019
No
AG0305
UBS AG
Type 4: advising on securities
17 Jun 2019 - 21 Jun 2019
No
AG0305
UBS AG
Type 6: advising on corporate finance
17 Jun 2019 - 21 Jun 2019
No
AG0305
UBS AG
Type 1: dealing in securities
26 Apr 2019 - 05 May 2019
No
AG0305
UBS AG
Type 4: advising on securities
26 Apr 2019 - 05 May 2019
No
AG0305
UBS AG
Type 6: advising on corporate finance
26 Apr 2019 - 05 May 2019
No
AG0305
UBS AG
Type 1: dealing in securities
10 Aug 2018 - 17 Aug 2018
No
AG0305
UBS AG
Type 4: advising on securities
10 Aug 2018 - 17 Aug 2018
No
AG0305
UBS AG
Type 6: advising on corporate finance
10 Aug 2018 - 17 Aug 2018
No
AG0305
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 14 Mar 2018
No
AG0305
UBS AG
Type 4: advising on securities
08 Mar 2018 - 14 Mar 2018
No
AG0305
UBS AG
Type 6: advising on corporate finance
08 Mar 2018 - 14 Mar 2018
No
AG0305
UBS AG
Type 1: dealing in securities
10 Nov 2017 - 17 Nov 2017
No
AG0305
UBS AG
Type 4: advising on securities
10 Nov 2017 - 17 Nov 2017
No
AG0305
UBS AG
Type 6: advising on corporate finance
10 Nov 2017 - 17 Nov 2017
No
AG0305
UBS AG
Type 1: dealing in securities
11 Jul 2017 - 14 Jul 2017
No
AG0305
UBS AG
Type 4: advising on securities
11 Jul 2017 - 14 Jul 2017
No
AG0305
UBS AG
Type 6: advising on corporate finance
11 Jul 2017 - 14 Jul 2017
No
AG0305
UBS AG
Type 1: dealing in securities
13 Jun 2016 - 16 Jun 2016
No
AG0305
UBS AG
Type 4: advising on securities
13 Jun 2016 - 16 Jun 2016
No
AG0305
UBS AG
Type 6: advising on corporate finance
13 Jun 2016 - 16 Jun 2016
No
AG0305
UBS AG
Type 1: dealing in securities
12 Jul 2013 - 19 Nov 2014
No
AG0305
UBS AG
Type 4: advising on securities
12 Jul 2013 - 19 Nov 2014
No
AG0305
UBS AG
Type 6: advising on corporate finance
12 Jul 2013 - 19 Nov 2014
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.