Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SU, HONGYI
Chinese Name of Relevant Individual
蘇虹伊
HKMA Registration Number
AH4821
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
30 Jun 2023 - 05 Jul 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
30 Jun 2023 - 05 Jul 2023
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 Apr 2019 - 11 Apr 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
07 Apr 2019 - 11 Apr 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
02 Jun 2017 - 09 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
02 Jun 2017 - 09 Jun 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
SU, HONGYI
:
Chinese Name of Relevant Individual
蘇虹伊
:
HKMA Registration Number
AH4821
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4821
UBS AG
Type 1: dealing in securities
30 Jun 2023 - 05 Jul 2023
No
AH4821
UBS AG
Type 4: advising on securities
30 Jun 2023 - 05 Jul 2023
No
AH4821
UBS AG
Type 1: dealing in securities
07 Apr 2019 - 11 Apr 2019
No
AH4821
UBS AG
Type 4: advising on securities
07 Apr 2019 - 11 Apr 2019
No
AH4821
UBS AG
Type 1: dealing in securities
02 Jun 2017 - 09 Jun 2017
No
AH4821
UBS AG
Type 4: advising on securities
02 Jun 2017 - 09 Jun 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.