Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
EL-KAZZI, RITA
Chinese Name of Relevant Individual
HKMA Registration Number
AH1472
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
03 Oct 2019 - 09 Oct 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
03 Oct 2019 - 09 Oct 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
16 Aug 2019 - 21 Aug 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
16 Aug 2019 - 21 Aug 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
12 Mar 2018 - 17 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
12 Mar 2018 - 17 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
08 May 2016 - 11 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
08 May 2016 - 11 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
EL-KAZZI, RITA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1472
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1472
UBS AG
Type 1: dealing in securities
03 Oct 2019 - 09 Oct 2019
No
AH1472
UBS AG
Type 4: advising on securities
03 Oct 2019 - 09 Oct 2019
No
AH1472
UBS AG
Type 1: dealing in securities
16 Aug 2019 - 21 Aug 2019
No
AH1472
UBS AG
Type 4: advising on securities
16 Aug 2019 - 21 Aug 2019
No
AH1472
UBS AG
Type 1: dealing in securities
12 Mar 2018 - 17 Mar 2018
No
AH1472
UBS AG
Type 4: advising on securities
12 Mar 2018 - 17 Mar 2018
No
AH1472
UBS AG
Type 1: dealing in securities
08 May 2016 - 11 May 2016
No
AH1472
UBS AG
Type 4: advising on securities
08 May 2016 - 11 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.