Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KUO, MING-CHIEH
Chinese Name of Relevant Individual
郭明杰
HKMA Registration Number
AH3506
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
24 Feb 2021 - 09 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Feb 2021 - 09 Oct 2023
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
24 Feb 2021 - 09 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2017 - 18 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Sep 2017 - 18 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
12 Sep 2017 - 14 Oct 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2017 - 02 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2017 - 02 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Apr 2017 - 02 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jan 2017 - 28 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
KUO, MING-CHIEH
:
Chinese Name of Relevant Individual
郭明杰
:
HKMA Registration Number
AH3506
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3506
UBS AG
Type 1: dealing in securities
24 Feb 2021 - 09 Oct 2023
No
AH3506
UBS AG
Type 4: advising on securities
24 Feb 2021 - 09 Oct 2023
No
AH3506
UBS AG
Type 6: advising on corporate finance
24 Feb 2021 - 09 Oct 2023
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
12 Sep 2017 - 18 Nov 2020
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
12 Sep 2017 - 18 Nov 2020
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
12 Sep 2017 - 14 Oct 2019
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 Apr 2017 - 02 Jul 2017
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
03 Apr 2017 - 02 Jul 2017
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
03 Apr 2017 - 02 Jul 2017
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Jan 2017 - 28 Mar 2017
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
01 Jan 2017 - 28 Mar 2017
No
AH3506
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
01 Jan 2017 - 28 Mar 2017
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.