Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DE GARIDEL-THORON, THOMAS HENRI S. M.
Chinese Name of Relevant Individual
HKMA Registration Number
AG4966
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
20 Oct 2021 - 26 Feb 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2021 - 26 Feb 2026
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
17 Oct 2020 - 26 Feb 2026
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 Oct 2020 - 19 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Oct 2020 - 19 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2014 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2014 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
DE GARIDEL-THORON, THOMAS HENRI S. M.
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4966
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4966
UBS AG
Type 1: dealing in securities
20 Oct 2021 - 26 Feb 2026
Yes
AG4966
UBS AG
Type 4: advising on securities
20 Oct 2021 - 26 Feb 2026
Yes
AG4966
UBS AG
Type 7: providing automated trading services
17 Oct 2020 - 26 Feb 2026
No
AG4966
UBS AG
Type 1: dealing in securities
17 Oct 2020 - 19 Oct 2021
No
AG4966
UBS AG
Type 4: advising on securities
17 Oct 2020 - 19 Oct 2021
No
AG4966
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Oct 2014 - 30 Jun 2020
No
AG4966
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Oct 2014 - 30 Jun 2020
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.