Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOFFAT, THOMAS ALEXANDER
Chinese Name of Relevant Individual
HKMA Registration Number
AG9060
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2023 - 03 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2016 - 11 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2016 - 13 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
07 Mar 2016 - 13 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2015 - 27 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2015 - 27 Sep 2015
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
MOFFAT, THOMAS ALEXANDER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9060
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9060
BNP PARIBAS
Type 1: dealing in securities
27 Feb 2023 - 03 Mar 2023
No
AG9060
BNP PARIBAS
Type 1: dealing in securities
08 Nov 2016 - 11 Nov 2016
No
AG9060
UBS AG
Type 1: dealing in securities
07 Mar 2016 - 13 Mar 2016
No
AG9060
UBS AG
Type 4: advising on securities
07 Mar 2016 - 13 Mar 2016
No
AG9060
UBS AG
Type 1: dealing in securities
22 Sep 2015 - 27 Sep 2015
No
AG9060
UBS AG
Type 4: advising on securities
22 Sep 2015 - 27 Sep 2015
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.