Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSE, KA YING TEENA
Chinese Name of Relevant Individual
謝嘉凝
HKMA Registration Number
AH6427
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Mar 2022 - 09 Feb 2023
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
04 Mar 2022 - 09 Feb 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
23 Nov 2017 - 04 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Nov 2017 - 04 Feb 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
TSE, KA YING TEENA
:
Chinese Name of Relevant Individual
謝嘉凝
:
HKMA Registration Number
AH6427
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6427
CREDIT SUISSE AG
Type 1: dealing in securities
04 Mar 2022 - 09 Feb 2023
No
AH6427
CREDIT SUISSE AG
Type 4: advising on securities
04 Mar 2022 - 09 Feb 2023
No
AH6427
UBS AG
Type 1: dealing in securities
23 Nov 2017 - 04 Feb 2022
No
AH6427
UBS AG
Type 4: advising on securities
23 Nov 2017 - 04 Feb 2022
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.