Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, SUI MING NELLY
Chinese Name of Relevant Individual
謝瑞明
HKMA Registration Number
AG1066
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
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR 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 31 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
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2020 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Oct 2020 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2018 - 17 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
14 Sep 2018 - 17 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2014 - 15 Jun 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2014 - 15 Jun 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Sep 2013 - 02 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2013 - 02 Jul 2014
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
TSE, SUI MING NELLY
:
Chinese Name of Relevant Individual
謝瑞明
:
HKMA Registration Number
AG1066
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
31 May 2024
No
CLIENT ADVISOR 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)
AG1066
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AG1066
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AG1066
CREDIT SUISSE AG
Type 1: dealing in securities
07 Oct 2020 - 31 May 2024
No
AG1066
CREDIT SUISSE AG
Type 4: advising on securities
07 Oct 2020 - 31 May 2024
No
AG1066
BNP PARIBAS
Type 1: dealing in securities
14 Sep 2018 - 17 Jul 2020
No
AG1066
BNP PARIBAS
Type 4: advising on securities
14 Sep 2018 - 17 Jul 2020
No
AG1066
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Jul 2014 - 15 Jun 2018
Yes
AG1066
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Jul 2014 - 15 Jun 2018
Yes
AG1066
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2013 - 02 Jul 2014
No
AG1066
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2013 - 02 Jul 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.