Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, XIN RU
Chinese Name of Relevant Individual
HKMA Registration Number
AG9586
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
08 Nov 2019 - 15 Nov 2019
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 Nov 2019 - 15 Nov 2019
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
08 Nov 2019 - 15 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2019 - 26 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2019 - 26 Sep 2019
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
20 Sep 2019 - 26 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2019 - 12 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2019 - 12 Jun 2019
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
10 Jun 2019 - 12 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jan 2019 - 24 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jan 2019 - 24 Jan 2019
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
18 Jan 2019 - 24 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2018 - 21 Sep 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
14 Sep 2018 - 21 Sep 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
14 Sep 2018 - 21 Sep 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 27
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
TAN, XIN RU
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9586
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9586
UBS AG
Type 1: dealing in securities
08 Nov 2019 - 15 Nov 2019
No
AG9586
UBS AG
Type 4: advising on securities
08 Nov 2019 - 15 Nov 2019
No
AG9586
UBS AG
Type 6: advising on corporate finance
08 Nov 2019 - 15 Nov 2019
No
AG9586
UBS AG
Type 1: dealing in securities
20 Sep 2019 - 26 Sep 2019
No
AG9586
UBS AG
Type 4: advising on securities
20 Sep 2019 - 26 Sep 2019
No
AG9586
UBS AG
Type 6: advising on corporate finance
20 Sep 2019 - 26 Sep 2019
No
AG9586
UBS AG
Type 1: dealing in securities
10 Jun 2019 - 12 Jun 2019
No
AG9586
UBS AG
Type 4: advising on securities
10 Jun 2019 - 12 Jun 2019
No
AG9586
UBS AG
Type 6: advising on corporate finance
10 Jun 2019 - 12 Jun 2019
No
AG9586
UBS AG
Type 1: dealing in securities
18 Jan 2019 - 24 Jan 2019
No
AG9586
UBS AG
Type 4: advising on securities
18 Jan 2019 - 24 Jan 2019
No
AG9586
UBS AG
Type 6: advising on corporate finance
18 Jan 2019 - 24 Jan 2019
No
AG9586
UBS AG
Type 1: dealing in securities
14 Sep 2018 - 21 Sep 2018
No
AG9586
UBS AG
Type 4: advising on securities
14 Sep 2018 - 21 Sep 2018
No
AG9586
UBS AG
Type 6: advising on corporate finance
14 Sep 2018 - 21 Sep 2018
No
AG9586
UBS AG
Type 1: dealing in securities
07 May 2018 - 11 May 2018
No
AG9586
UBS AG
Type 4: advising on securities
07 May 2018 - 11 May 2018
No
AG9586
UBS AG
Type 6: advising on corporate finance
07 May 2018 - 11 May 2018
No
AG9586
UBS AG
Type 1: dealing in securities
23 Mar 2018 - 27 Mar 2018
No
AG9586
UBS AG
Type 4: advising on securities
23 Mar 2018 - 27 Mar 2018
No
AG9586
UBS AG
Type 6: advising on corporate finance
23 Mar 2018 - 27 Mar 2018
No
AG9586
UBS AG
Type 1: dealing in securities
10 Mar 2016 - 18 Jul 2017
No
AG9586
UBS AG
Type 4: advising on securities
10 Mar 2016 - 18 Jul 2017
No
AG9586
UBS AG
Type 6: advising on corporate finance
10 Mar 2016 - 18 Jul 2017
No
AG9586
UBS AG
Type 1: dealing in securities
02 Nov 2015 - 06 Nov 2015
No
AG9586
UBS AG
Type 4: advising on securities
02 Nov 2015 - 06 Nov 2015
No
AG9586
UBS AG
Type 6: advising on corporate finance
02 Nov 2015 - 06 Nov 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.