Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TIAN, KE
Chinese Name of Relevant Individual
田克
HKMA Registration Number
AH6626
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
20 Nov 2021 - 06 Oct 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
20 Nov 2021 - 06 Oct 2023
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
20 Nov 2021 - 06 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Dec 2017 - 31 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Dec 2017 - 31 May 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
TIAN, KE
:
Chinese Name of Relevant Individual
田克
:
HKMA Registration Number
AH6626
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6626
UBS AG
Type 1: dealing in securities
20 Nov 2021 - 06 Oct 2023
No
AH6626
UBS AG
Type 4: advising on securities
20 Nov 2021 - 06 Oct 2023
No
AH6626
UBS AG
Type 6: advising on corporate finance
20 Nov 2021 - 06 Oct 2023
No
AH6626
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Dec 2017 - 31 May 2021
No
AH6626
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
19 Dec 2017 - 31 May 2021
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.