Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSUI, KWUN CHU
Chinese Name of Relevant Individual
徐冠珠
HKMA Registration Number
AH4636
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
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 31 May 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
31 May 2024 - 30 Jun 2025
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
08 Oct 2021 - 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
08 Oct 2021 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2021 - 08 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2021 - 08 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 May 2018 - 31 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 May 2018 - 31 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2017 - 01 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Aug 2017 - 01 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 May 2017 - 02 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 May 2017 - 02 Aug 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
TSUI, KWUN CHU
:
Chinese Name of Relevant Individual
徐冠珠
:
HKMA Registration Number
AH4636
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ACCOUNT MANAGER
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)
AH4636
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AH4636
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AH4636
CREDIT SUISSE AG
Type 1: dealing in securities
08 Oct 2021 - 31 May 2024
No
AH4636
CREDIT SUISSE AG
Type 4: advising on securities
08 Oct 2021 - 31 May 2024
No
AH4636
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
07 Jun 2021 - 08 Sep 2021
No
AH4636
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
07 Jun 2021 - 08 Sep 2021
No
AH4636
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
04 May 2018 - 31 May 2021
No
AH4636
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
04 May 2018 - 31 May 2021
No
AH4636
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Aug 2017 - 01 Apr 2018
No
AH4636
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Aug 2017 - 01 Apr 2018
No
AH4636
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 May 2017 - 02 Aug 2017
No
AH4636
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
13 May 2017 - 02 Aug 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.