Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HELLER, TOBIAS GERHARD
Chinese Name of Relevant Individual
HKMA Registration Number
AG2320
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
01 Nov 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER WEALTH MANAGEMENT
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
01 Nov 2023
Description
For Type 1 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of UBS AG not subject to a similar condition.
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 01 Nov 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Sep 2022 - 31 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2014 - 06 May 2016
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
23 Jan 2014 - 06 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HELLER, TOBIAS GERHARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG2320
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
01 Nov 2023
Yes
SENIOR MANAGER WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
01 Nov 2023
For Type 1 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of UBS AG not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2320
UBS AG
Type 1: dealing in securities
Since 01 Nov 2023
Yes
AG2320
CREDIT SUISSE AG
Type 1: dealing in securities
09 Sep 2022 - 31 May 2024
Yes
AG2320
CREDIT SUISSE AG
Type 4: advising on securities
09 Sep 2022 - 31 May 2024
Yes
AG2320
CREDIT SUISSE AG
Type 6: advising on corporate finance
09 Sep 2022 - 31 Dec 2023
Yes
AG2320
CREDIT SUISSE AG
Type 1: dealing in securities
23 Jan 2014 - 06 May 2016
No
AG2320
CREDIT SUISSE AG
Type 4: advising on securities
23 Jan 2014 - 06 May 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.