Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, TZE CHUNG
Chinese Name of Relevant Individual
莫子中
HKMA Registration Number
AG4680
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
28 Mar 2018 - 09 Mar 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
28 Mar 2018 - 09 Mar 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
28 Mar 2018 - 09 Mar 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
04 Sep 2014 - 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
04 Sep 2014 - 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
04 Sep 2014 - 22 Nov 2017
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
MOK, TZE CHUNG
:
Chinese Name of Relevant Individual
莫子中
:
HKMA Registration Number
AG4680
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4680
UBS AG
Type 1: dealing in securities
28 Mar 2018 - 09 Mar 2026
No
AG4680
UBS AG
Type 4: advising on securities
28 Mar 2018 - 09 Mar 2026
No
AG4680
UBS AG
Type 6: advising on corporate finance
28 Mar 2018 - 09 Mar 2026
No
AG4680
CREDIT SUISSE AG
Type 1: dealing in securities
04 Sep 2014 - 22 Nov 2017
No
AG4680
CREDIT SUISSE AG
Type 4: advising on securities
04 Sep 2014 - 22 Nov 2017
No
AG4680
CREDIT SUISSE AG
Type 6: advising on corporate finance
04 Sep 2014 - 22 Nov 2017
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.