Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GALT, TIMOTHY MICHAEL
Chinese Name of Relevant Individual
HKMA Registration Number
AH1455
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
25 Jul 2017 - 04 Jun 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
25 Jul 2017 - 04 Jun 2021
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
25 Jul 2017 - 04 Jun 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
30 Jun 2017 - 05 Jul 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 Jun 2017 - 05 Jul 2017
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
30 Jun 2017 - 05 Jul 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
24 Mar 2017 - 01 Apr 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
24 Mar 2017 - 01 Apr 2017
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
24 Mar 2017 - 01 Apr 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
17 Oct 2016 - 19 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
17 Oct 2016 - 19 Oct 2016
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
17 Oct 2016 - 19 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
06 May 2016 - 08 May 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
06 May 2016 - 08 May 2016
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
06 May 2016 - 08 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
GALT, TIMOTHY MICHAEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1455
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1455
UBS AG
Type 1: dealing in securities
25 Jul 2017 - 04 Jun 2021
No
AH1455
UBS AG
Type 4: advising on securities
25 Jul 2017 - 04 Jun 2021
No
AH1455
UBS AG
Type 6: advising on corporate finance
25 Jul 2017 - 04 Jun 2021
No
AH1455
UBS AG
Type 1: dealing in securities
30 Jun 2017 - 05 Jul 2017
No
AH1455
UBS AG
Type 4: advising on securities
30 Jun 2017 - 05 Jul 2017
No
AH1455
UBS AG
Type 6: advising on corporate finance
30 Jun 2017 - 05 Jul 2017
No
AH1455
UBS AG
Type 1: dealing in securities
24 Mar 2017 - 01 Apr 2017
No
AH1455
UBS AG
Type 4: advising on securities
24 Mar 2017 - 01 Apr 2017
No
AH1455
UBS AG
Type 6: advising on corporate finance
24 Mar 2017 - 01 Apr 2017
No
AH1455
UBS AG
Type 1: dealing in securities
17 Oct 2016 - 19 Oct 2016
No
AH1455
UBS AG
Type 4: advising on securities
17 Oct 2016 - 19 Oct 2016
No
AH1455
UBS AG
Type 6: advising on corporate finance
17 Oct 2016 - 19 Oct 2016
No
AH1455
UBS AG
Type 1: dealing in securities
06 May 2016 - 08 May 2016
No
AH1455
UBS AG
Type 4: advising on securities
06 May 2016 - 08 May 2016
No
AH1455
UBS AG
Type 6: advising on corporate finance
06 May 2016 - 08 May 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.