Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YEO, SENG SOO CECIL
Chinese Name of Relevant Individual
HKMA Registration Number
AH1728
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 2017 - 09 Apr 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 2017 - 09 Apr 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
10 Jan 2017 - 12 Jan 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
10 Jan 2017 - 12 Jan 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 Oct 2016 - 21 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
16 Oct 2016 - 21 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
12 Sep 2016 - 16 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
12 Sep 2016 - 16 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
06 Jun 2016 - 10 Jun 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 Jun 2016 - 10 Jun 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
YEO, SENG SOO CECIL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1728
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1728
UBS AG
Type 1: dealing in securities
25 Jan 2017 - 09 Apr 2019
No
AH1728
UBS AG
Type 4: advising on securities
25 Jan 2017 - 09 Apr 2019
No
AH1728
UBS AG
Type 1: dealing in securities
10 Jan 2017 - 12 Jan 2017
No
AH1728
UBS AG
Type 4: advising on securities
10 Jan 2017 - 12 Jan 2017
No
AH1728
UBS AG
Type 1: dealing in securities
16 Oct 2016 - 21 Oct 2016
No
AH1728
UBS AG
Type 4: advising on securities
16 Oct 2016 - 21 Oct 2016
No
AH1728
UBS AG
Type 1: dealing in securities
12 Sep 2016 - 16 Sep 2016
No
AH1728
UBS AG
Type 4: advising on securities
12 Sep 2016 - 16 Sep 2016
No
AH1728
UBS AG
Type 1: dealing in securities
06 Jun 2016 - 10 Jun 2016
No
AH1728
UBS AG
Type 4: advising on securities
06 Jun 2016 - 10 Jun 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.