Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DAI, XI
Chinese Name of Relevant Individual
戴茜
HKMA Registration Number
AG5376
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
12 Nov 2020 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Nov 2020 - 28 Feb 2022
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
12 Nov 2020 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2020 - 31 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2020 - 31 Oct 2020
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
04 Aug 2020 - 31 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2014 - 22 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2014 - 22 May 2018
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
04 Nov 2014 - 22 May 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
DAI, XI
:
Chinese Name of Relevant Individual
戴茜
:
HKMA Registration Number
AG5376
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5376
UBS AG
Type 1: dealing in securities
12 Nov 2020 - 28 Feb 2022
No
AG5376
UBS AG
Type 4: advising on securities
12 Nov 2020 - 28 Feb 2022
No
AG5376
UBS AG
Type 6: advising on corporate finance
12 Nov 2020 - 28 Feb 2022
No
AG5376
UBS AG
Type 1: dealing in securities
04 Aug 2020 - 31 Oct 2020
No
AG5376
UBS AG
Type 4: advising on securities
04 Aug 2020 - 31 Oct 2020
No
AG5376
UBS AG
Type 6: advising on corporate finance
04 Aug 2020 - 31 Oct 2020
No
AG5376
UBS AG
Type 1: dealing in securities
04 Nov 2014 - 22 May 2018
No
AG5376
UBS AG
Type 4: advising on securities
04 Nov 2014 - 22 May 2018
No
AG5376
UBS AG
Type 6: advising on corporate finance
04 Nov 2014 - 22 May 2018
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.