Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XU, KAI
Chinese Name of Relevant Individual
許凱
HKMA Registration Number
AH2913
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
06 Aug 2020 - 31 Dec 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
06 Aug 2020 - 31 Dec 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
06 Aug 2020 - 31 Dec 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
06 Feb 2020 - 07 Feb 2020
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 Feb 2020 - 07 Feb 2020
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 Feb 2020 - 07 Feb 2020
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 Jun 2019 - 11 Jun 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
10 Jun 2019 - 11 Jun 2019
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
10 Jun 2019 - 11 Jun 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
06 Oct 2017 - 12 Oct 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
06 Oct 2017 - 12 Oct 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
06 Oct 2017 - 12 Oct 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
07 Nov 2016 - 10 Nov 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
07 Nov 2016 - 10 Nov 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
07 Nov 2016 - 10 Nov 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
XU, KAI
:
Chinese Name of Relevant Individual
許凱
:
HKMA Registration Number
AH2913
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2913
UBS AG
Type 1: dealing in securities
06 Aug 2020 - 31 Dec 2021
No
AH2913
UBS AG
Type 4: advising on securities
06 Aug 2020 - 31 Dec 2021
No
AH2913
UBS AG
Type 6: advising on corporate finance
06 Aug 2020 - 31 Dec 2021
No
AH2913
UBS AG
Type 1: dealing in securities
06 Feb 2020 - 07 Feb 2020
No
AH2913
UBS AG
Type 4: advising on securities
06 Feb 2020 - 07 Feb 2020
No
AH2913
UBS AG
Type 6: advising on corporate finance
06 Feb 2020 - 07 Feb 2020
No
AH2913
UBS AG
Type 1: dealing in securities
10 Jun 2019 - 11 Jun 2019
No
AH2913
UBS AG
Type 4: advising on securities
10 Jun 2019 - 11 Jun 2019
No
AH2913
UBS AG
Type 6: advising on corporate finance
10 Jun 2019 - 11 Jun 2019
No
AH2913
UBS AG
Type 1: dealing in securities
06 Oct 2017 - 12 Oct 2017
No
AH2913
UBS AG
Type 4: advising on securities
06 Oct 2017 - 12 Oct 2017
No
AH2913
UBS AG
Type 6: advising on corporate finance
06 Oct 2017 - 12 Oct 2017
No
AH2913
UBS AG
Type 1: dealing in securities
07 Nov 2016 - 10 Nov 2016
No
AH2913
UBS AG
Type 4: advising on securities
07 Nov 2016 - 10 Nov 2016
No
AH2913
UBS AG
Type 6: advising on corporate finance
07 Nov 2016 - 10 Nov 2016
No
AH2913
UBS AG
Type 1: dealing in securities
12 Oct 2016 - 14 Oct 2016
No
AH2913
UBS AG
Type 4: advising on securities
12 Oct 2016 - 14 Oct 2016
No
AH2913
UBS AG
Type 6: advising on corporate finance
12 Oct 2016 - 14 Oct 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.