Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSUI, CHING WAI CLAIRE
Chinese Name of Relevant Individual
徐靜慧
HKMA Registration Number
AH5573
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
01 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MANAGER WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MANAGER WM
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 01 Feb 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
Since 01 Feb 2024
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
Since 21 Jan 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Jan 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Jan 2019 - 31 Jan 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2017 - 20 Jan 2019
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
23 Aug 2017 - 20 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Aug 2017 - 20 Jan 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, CHING WAI CLAIRE
:
Chinese Name of Relevant Individual
徐靜慧
:
HKMA Registration Number
AH5573
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
01 Feb 2024
No
SENIOR MANAGER WM
UBS AG
Type 4: advising on securities
01 Feb 2024
No
SENIOR MANAGER WM
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)
AH5573
UBS AG
Type 1: dealing in securities
Since 01 Feb 2024
No
AH5573
UBS AG
Type 4: advising on securities
Since 01 Feb 2024
No
AH5573
CREDIT SUISSE AG
Type 1: dealing in securities
Since 21 Jan 2019
Yes
AH5573
CREDIT SUISSE AG
Type 4: advising on securities
Since 21 Jan 2019
Yes
AH5573
CREDIT SUISSE AG
Type 6: advising on corporate finance
21 Jan 2019 - 31 Jan 2024
Yes
AH5573
CREDIT SUISSE AG
Type 1: dealing in securities
23 Aug 2017 - 20 Jan 2019
No
AH5573
CREDIT SUISSE AG
Type 4: advising on securities
23 Aug 2017 - 20 Jan 2019
No
AH5573
CREDIT SUISSE AG
Type 6: advising on corporate finance
23 Aug 2017 - 20 Jan 2019
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.