Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SU, CHEN
Chinese Name of Relevant Individual
蘇琛
HKMA Registration Number
AG6929
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
19 Mar 2015 - 22 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2015 - 22 Mar 2016
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
19 Mar 2015 - 22 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
SU, CHEN
:
Chinese Name of Relevant Individual
蘇琛
:
HKMA Registration Number
AG6929
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6929
UBS AG
Type 1: dealing in securities
19 Mar 2015 - 22 Mar 2016
No
AG6929
UBS AG
Type 4: advising on securities
19 Mar 2015 - 22 Mar 2016
No
AG6929
UBS AG
Type 6: advising on corporate finance
19 Mar 2015 - 22 Mar 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.