Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, PUI KWAN
Chinese Name of Relevant Individual
謝沛鈞
HKMA Registration Number
AH3326
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 Sep 2018 - 08 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2016 - 06 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
28 Nov 2016 - 06 Feb 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
TSE, PUI KWAN
:
Chinese Name of Relevant Individual
謝沛鈞
:
HKMA Registration Number
AH3326
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3326
UBS AG
Type 1: dealing in securities
06 Sep 2018 - 08 Jan 2021
No
AH3326
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
28 Nov 2016 - 06 Feb 2018
No
AH3326
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
28 Nov 2016 - 06 Feb 2018
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.