Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FOO, SOO YUEN
Chinese Name of Relevant Individual
HKMA Registration Number
AG7835
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
05 Nov 2018 - 09 Nov 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
05 Nov 2018 - 09 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2018 - 14 Mar 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
08 Mar 2018 - 14 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2017 - 29 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2017 - 29 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2015 - 19 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jun 2015 - 19 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Jun 2015 - 19 Feb 2017
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
FOO, SOO YUEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7835
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7835
UBS AG
Type 1: dealing in securities
05 Nov 2018 - 09 Nov 2018
No
AG7835
UBS AG
Type 4: advising on securities
05 Nov 2018 - 09 Nov 2018
No
AG7835
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 14 Mar 2018
No
AG7835
UBS AG
Type 4: advising on securities
08 Mar 2018 - 14 Mar 2018
No
AG7835
UBS AG
Type 1: dealing in securities
24 Jul 2017 - 29 Jul 2017
No
AG7835
UBS AG
Type 4: advising on securities
24 Jul 2017 - 29 Jul 2017
No
AG7835
UBS AG
Type 1: dealing in securities
11 Jun 2015 - 19 Feb 2017
No
AG7835
UBS AG
Type 4: advising on securities
11 Jun 2015 - 19 Feb 2017
No
AG7835
UBS AG
Type 7: providing automated trading services
11 Jun 2015 - 19 Feb 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.