Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PAYNE, TOM GEORGE
Chinese Name of Relevant Individual
HKMA Registration Number
AH5741
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
01 Mar 2023 - 03 Mar 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
01 Mar 2023 - 03 Mar 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
09 Aug 2019 - 14 Aug 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
09 Aug 2019 - 14 Aug 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
09 Aug 2018 - 17 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2018 - 17 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Sep 2017 - 14 Sep 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
11 Sep 2017 - 14 Sep 2017
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
PAYNE, TOM GEORGE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH5741
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5741
UBS AG
Type 1: dealing in securities
01 Mar 2023 - 03 Mar 2023
No
AH5741
UBS AG
Type 4: advising on securities
01 Mar 2023 - 03 Mar 2023
No
AH5741
UBS AG
Type 1: dealing in securities
09 Aug 2019 - 14 Aug 2019
No
AH5741
UBS AG
Type 4: advising on securities
09 Aug 2019 - 14 Aug 2019
No
AH5741
UBS AG
Type 1: dealing in securities
09 Aug 2018 - 17 Aug 2018
No
AH5741
UBS AG
Type 4: advising on securities
09 Aug 2018 - 17 Aug 2018
No
AH5741
UBS AG
Type 1: dealing in securities
11 Sep 2017 - 14 Sep 2017
No
AH5741
UBS AG
Type 4: advising on securities
11 Sep 2017 - 14 Sep 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.