Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GAMBY, THOMAS MATTHEW
Chinese Name of Relevant Individual
HKMA Registration Number
AH1073
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
15 Aug 2018 - 17 Aug 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
15 Aug 2018 - 17 Aug 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
30 Nov 2017 - 07 Dec 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
30 Nov 2017 - 07 Dec 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
16 Feb 2017 - 21 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
16 Feb 2017 - 21 Feb 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
21 Oct 2016 - 25 Oct 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
21 Oct 2016 - 25 Oct 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
29 Mar 2016 - 30 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
29 Mar 2016 - 30 Mar 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
GAMBY, THOMAS MATTHEW
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1073
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1073
UBS AG
Type 1: dealing in securities
15 Aug 2018 - 17 Aug 2018
No
AH1073
UBS AG
Type 4: advising on securities
15 Aug 2018 - 17 Aug 2018
No
AH1073
UBS AG
Type 1: dealing in securities
30 Nov 2017 - 07 Dec 2017
No
AH1073
UBS AG
Type 4: advising on securities
30 Nov 2017 - 07 Dec 2017
No
AH1073
UBS AG
Type 1: dealing in securities
16 Feb 2017 - 21 Feb 2017
No
AH1073
UBS AG
Type 4: advising on securities
16 Feb 2017 - 21 Feb 2017
No
AH1073
UBS AG
Type 1: dealing in securities
21 Oct 2016 - 25 Oct 2016
No
AH1073
UBS AG
Type 4: advising on securities
21 Oct 2016 - 25 Oct 2016
No
AH1073
UBS AG
Type 1: dealing in securities
29 Mar 2016 - 30 Mar 2016
No
AH1073
UBS AG
Type 4: advising on securities
29 Mar 2016 - 30 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.