Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, QI
Chinese Name of Relevant Individual
孙祺
HKMA Registration Number
AG9677
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
02 Jul 2019 - 05 Jul 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
02 Jul 2019 - 05 Jul 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
05 Apr 2019 - 11 Apr 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
05 Apr 2019 - 11 Apr 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
28 Jun 2018 - 05 Jul 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
28 Jun 2018 - 05 Jul 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 - 15 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 - 15 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
26 Jan 2018 - 01 Feb 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
26 Jan 2018 - 01 Feb 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
02 Jun 2017 - 09 Jun 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
02 Jun 2017 - 09 Jun 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
14 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
14 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
09 Nov 2015 - 11 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
SUN, QI
:
Chinese Name of Relevant Individual
孙祺
:
HKMA Registration Number
AG9677
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9677
UBS AG
Type 1: dealing in securities
02 Jul 2019 - 05 Jul 2019
No
AG9677
UBS AG
Type 4: advising on securities
02 Jul 2019 - 05 Jul 2019
No
AG9677
UBS AG
Type 1: dealing in securities
05 Apr 2019 - 11 Apr 2019
No
AG9677
UBS AG
Type 4: advising on securities
05 Apr 2019 - 11 Apr 2019
No
AG9677
UBS AG
Type 1: dealing in securities
28 Jun 2018 - 05 Jul 2018
No
AG9677
UBS AG
Type 4: advising on securities
28 Jun 2018 - 05 Jul 2018
No
AG9677
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 15 Mar 2018
No
AG9677
UBS AG
Type 4: advising on securities
08 Mar 2018 - 15 Mar 2018
No
AG9677
UBS AG
Type 1: dealing in securities
26 Jan 2018 - 01 Feb 2018
No
AG9677
UBS AG
Type 4: advising on securities
26 Jan 2018 - 01 Feb 2018
No
AG9677
UBS AG
Type 1: dealing in securities
02 Jun 2017 - 09 Jun 2017
No
AG9677
UBS AG
Type 4: advising on securities
02 Jun 2017 - 09 Jun 2017
No
AG9677
UBS AG
Type 1: dealing in securities
14 Mar 2016
No
AG9677
UBS AG
Type 4: advising on securities
14 Mar 2016
No
AG9677
UBS AG
Type 1: dealing in securities
09 Nov 2015 - 11 Nov 2015
No
AG9677
UBS AG
Type 4: advising on securities
09 Nov 2015 - 11 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.