Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAUDHRY, RIZWAN SUHEL
Chinese Name of Relevant Individual
HKMA Registration Number
AH3198
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Oct 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Oct 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
17 Oct 2017
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 17 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
Since 17 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
Since 17 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
21 Sep 2017 - 29 Sep 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 Sep 2017 - 29 Sep 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
21 Sep 2017 - 29 Sep 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
17 Jul 2017 - 30 Jul 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
17 Jul 2017 - 30 Jul 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
17 Jul 2017 - 30 Jul 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 Jun 2017 - 24 Jun 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
09 Jun 2017 - 24 Jun 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
09 Jun 2017 - 24 Jun 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
11 Nov 2016 - 17 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
11 Nov 2016 - 17 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
11 Nov 2016 - 17 Nov 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
CHAUDHRY, RIZWAN SUHEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3198
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
17 Oct 2017
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
17 Oct 2017
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
17 Oct 2017
No
INV. BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3198
UBS AG
Type 1: dealing in securities
Since 17 Oct 2017
No
AH3198
UBS AG
Type 4: advising on securities
Since 17 Oct 2017
No
AH3198
UBS AG
Type 6: advising on corporate finance
Since 17 Oct 2017
No
AH3198
UBS AG
Type 1: dealing in securities
21 Sep 2017 - 29 Sep 2017
No
AH3198
UBS AG
Type 4: advising on securities
21 Sep 2017 - 29 Sep 2017
No
AH3198
UBS AG
Type 6: advising on corporate finance
21 Sep 2017 - 29 Sep 2017
No
AH3198
UBS AG
Type 1: dealing in securities
17 Jul 2017 - 30 Jul 2017
No
AH3198
UBS AG
Type 4: advising on securities
17 Jul 2017 - 30 Jul 2017
No
AH3198
UBS AG
Type 6: advising on corporate finance
17 Jul 2017 - 30 Jul 2017
No
AH3198
UBS AG
Type 1: dealing in securities
09 Jun 2017 - 24 Jun 2017
No
AH3198
UBS AG
Type 4: advising on securities
09 Jun 2017 - 24 Jun 2017
No
AH3198
UBS AG
Type 6: advising on corporate finance
09 Jun 2017 - 24 Jun 2017
No
AH3198
UBS AG
Type 1: dealing in securities
11 Nov 2016 - 17 Nov 2016
No
AH3198
UBS AG
Type 4: advising on securities
11 Nov 2016 - 17 Nov 2016
No
AH3198
UBS AG
Type 6: advising on corporate finance
11 Nov 2016 - 17 Nov 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.