Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGUYEN, THI KIM QUY
Chinese Name of Relevant Individual
HKMA Registration Number
AH6461
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
07 Jun 2019 - 13 Jun 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 Jun 2019 - 13 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Jun 2019 - 13 Jun 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
10 Nov 2018 - 16 Nov 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
10 Nov 2018 - 16 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Nov 2018 - 16 Nov 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
27 Nov 2017 - 01 Dec 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
27 Nov 2017 - 01 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
27 Nov 2017 - 01 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
NGUYEN, THI KIM QUY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH6461
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6461
UBS AG
Type 1: dealing in securities
07 Jun 2019 - 13 Jun 2019
No
AH6461
UBS AG
Type 4: advising on securities
07 Jun 2019 - 13 Jun 2019
No
AH6461
UBS AG
Type 6: advising on corporate finance
07 Jun 2019 - 13 Jun 2019
No
AH6461
UBS AG
Type 1: dealing in securities
10 Nov 2018 - 16 Nov 2018
No
AH6461
UBS AG
Type 4: advising on securities
10 Nov 2018 - 16 Nov 2018
No
AH6461
UBS AG
Type 6: advising on corporate finance
10 Nov 2018 - 16 Nov 2018
No
AH6461
UBS AG
Type 1: dealing in securities
27 Nov 2017 - 01 Dec 2017
No
AH6461
UBS AG
Type 4: advising on securities
27 Nov 2017 - 01 Dec 2017
No
AH6461
UBS AG
Type 6: advising on corporate finance
27 Nov 2017 - 01 Dec 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.