Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KHOO, HUIFEN
Chinese Name of Relevant Individual
HKMA Registration Number
AH1250
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
07 Mar 2018 - 13 Oct 2021
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 2018 - 13 Oct 2021
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 2018 - 23 Jan 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
18 Jan 2018 - 23 Jan 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
25 Sep 2017 - 30 Sep 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
25 Sep 2017 - 30 Sep 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
31 May 2017 - 07 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
31 May 2017 - 07 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
16 Mar 2017 - 26 Mar 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 Mar 2017 - 26 Mar 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
15 Sep 2016 - 20 Sep 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
15 Sep 2016 - 20 Sep 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
15 Apr 2016 - 18 Apr 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
15 Apr 2016 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
KHOO, HUIFEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1250
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1250
UBS AG
Type 1: dealing in securities
07 Mar 2018 - 13 Oct 2021
No
AH1250
UBS AG
Type 4: advising on securities
07 Mar 2018 - 13 Oct 2021
No
AH1250
UBS AG
Type 1: dealing in securities
18 Jan 2018 - 23 Jan 2018
No
AH1250
UBS AG
Type 4: advising on securities
18 Jan 2018 - 23 Jan 2018
No
AH1250
UBS AG
Type 1: dealing in securities
25 Sep 2017 - 30 Sep 2017
No
AH1250
UBS AG
Type 4: advising on securities
25 Sep 2017 - 30 Sep 2017
No
AH1250
UBS AG
Type 1: dealing in securities
31 May 2017 - 07 Jun 2017
No
AH1250
UBS AG
Type 4: advising on securities
31 May 2017 - 07 Jun 2017
No
AH1250
UBS AG
Type 1: dealing in securities
16 Mar 2017 - 26 Mar 2017
No
AH1250
UBS AG
Type 4: advising on securities
16 Mar 2017 - 26 Mar 2017
No
AH1250
UBS AG
Type 1: dealing in securities
15 Sep 2016 - 20 Sep 2016
No
AH1250
UBS AG
Type 4: advising on securities
15 Sep 2016 - 20 Sep 2016
No
AH1250
UBS AG
Type 1: dealing in securities
15 Apr 2016 - 18 Apr 2016
No
AH1250
UBS AG
Type 4: advising on securities
15 Apr 2016 - 18 Apr 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.