Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAO, DONG
Chinese Name of Relevant Individual
陶冬
HKMA Registration Number
AH2017
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
27 Feb 2024 - 28 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Feb 2024 - 28 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2016 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jul 2016 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
TAO, DONG
:
Chinese Name of Relevant Individual
陶冬
:
HKMA Registration Number
AH2017
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2017
UBS AG
Type 1: dealing in securities
27 Feb 2024 - 28 Jun 2024
No
AH2017
UBS AG
Type 4: advising on securities
27 Feb 2024 - 28 Jun 2024
No
AH2017
CREDIT SUISSE AG
Type 1: dealing in securities
11 Jul 2016 - 31 May 2024
No
AH2017
CREDIT SUISSE AG
Type 4: advising on securities
11 Jul 2016 - 31 May 2024
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.