Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, PEILING VALERIE
Chinese Name of Relevant Individual
HKMA Registration Number
AH1477
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 Jan 2019 - 03 Feb 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
25 Jan 2019 - 03 Feb 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 2018 - 26 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
16 Aug 2018 - 26 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
08 Mar 2018 - 16 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 - 16 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
21 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
21 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
09 May 2016 - 20 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
09 May 2016 - 20 May 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
TAN, PEILING VALERIE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1477
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1477
UBS AG
Type 1: dealing in securities
25 Jan 2019 - 03 Feb 2019
No
AH1477
UBS AG
Type 4: advising on securities
25 Jan 2019 - 03 Feb 2019
No
AH1477
UBS AG
Type 1: dealing in securities
16 Aug 2018 - 26 Aug 2018
No
AH1477
UBS AG
Type 4: advising on securities
16 Aug 2018 - 26 Aug 2018
No
AH1477
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 16 Mar 2018
No
AH1477
UBS AG
Type 4: advising on securities
08 Mar 2018 - 16 Mar 2018
No
AH1477
UBS AG
Type 1: dealing in securities
21 Mar 2017 - 26 Mar 2017
No
AH1477
UBS AG
Type 4: advising on securities
21 Mar 2017 - 26 Mar 2017
No
AH1477
UBS AG
Type 1: dealing in securities
09 May 2016 - 20 May 2016
No
AH1477
UBS AG
Type 4: advising on securities
09 May 2016 - 20 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.