Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BABA, TAICHI
Chinese Name of Relevant Individual
HKMA Registration Number
AG0901
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
03 Sep 2024 - 06 Sep 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
14 Jul 2023 - 28 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2019 - 20 Feb 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
08 Mar 2018 - 14 Mar 2018
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 Nov 2017 - 19 Nov 2017
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 Feb 2017 - 22 Feb 2017
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 Jan 2017 - 27 Jan 2017
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 May 2016 - 27 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2016 - 17 Mar 2016
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 Sep 2013 - 28 Jan 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
BABA, TAICHI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0901
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0901
UBS AG
Type 1: dealing in securities
03 Sep 2024 - 06 Sep 2024
No
AG0901
UBS AG
Type 1: dealing in securities
14 Jul 2023 - 28 Jul 2023
No
AG0901
UBS AG
Type 1: dealing in securities
14 Feb 2019 - 20 Feb 2019
No
AG0901
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 14 Mar 2018
No
AG0901
UBS AG
Type 1: dealing in securities
07 Nov 2017 - 19 Nov 2017
No
AG0901
UBS AG
Type 1: dealing in securities
17 Feb 2017 - 22 Feb 2017
No
AG0901
UBS AG
Type 1: dealing in securities
04 Jan 2017 - 27 Jan 2017
No
AG0901
UBS AG
Type 1: dealing in securities
16 May 2016 - 27 May 2016
No
AG0901
UBS AG
Type 1: dealing in securities
25 Feb 2016 - 17 Mar 2016
No
AG0901
UBS AG
Type 1: dealing in securities
05 Sep 2013 - 28 Jan 2015
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.