Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHUA, YI ZHI MARIA
Chinese Name of Relevant Individual
蔡依芝
HKMA Registration Number
AG3892
Other HKMA Registration Number(s)
AD6196
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
26 Jul 2018 - 08 Apr 2026
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 Jul 2018 - 08 Apr 2026
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 Jul 2018 - 08 Apr 2026
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
13 Aug 2016 - 22 Nov 2017
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
13 Aug 2016 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
13 Aug 2016 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2014 - 30 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jun 2014 - 30 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Jun 2014 - 30 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Nov 2007 - 15 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2007 - 15 Feb 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHUA, YI ZHI MARIA
:
Chinese Name of Relevant Individual
蔡依芝
:
HKMA Registration Number
AG3892
:
Other HKMA Registration Number(s)
AD6196
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3892
UBS AG
Type 1: dealing in securities
26 Jul 2018 - 08 Apr 2026
No
AG3892
UBS AG
Type 4: advising on securities
26 Jul 2018 - 08 Apr 2026
No
AG3892
UBS AG
Type 6: advising on corporate finance
26 Jul 2018 - 08 Apr 2026
No
AG3892
CREDIT SUISSE AG
Type 1: dealing in securities
13 Aug 2016 - 22 Nov 2017
No
AG3892
CREDIT SUISSE AG
Type 4: advising on securities
13 Aug 2016 - 22 Nov 2017
No
AG3892
CREDIT SUISSE AG
Type 6: advising on corporate finance
13 Aug 2016 - 22 Nov 2017
No
AG3892
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
27 Jun 2014 - 30 Apr 2016
No
AG3892
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
27 Jun 2014 - 30 Apr 2016
No
AG3892
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
27 Jun 2014 - 30 Apr 2016
No
AD6196
ABN AMRO BANK N.V.
Type 6: advising on corporate finance
10 Nov 2007 - 15 Feb 2010
No
AD6196
ABN AMRO BANK N.V.
Type 1: dealing in securities
30 Oct 2007 - 15 Feb 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.