Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAY, DMITRY
Chinese Name of Relevant Individual
HKMA Registration Number
AH9692
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
09 Dec 2025 - 14 Dec 2025
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 Dec 2025 - 14 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Mar 2025 - 21 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Mar 2025 - 21 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Sep 2024 - 20 Sep 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
13 Sep 2024 - 20 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2024 - 08 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
02 Feb 2024 - 08 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 May 2023 - 12 May 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
08 May 2023 - 12 May 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
19 Oct 2018 - 24 Oct 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
19 Oct 2018 - 24 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
KAY, DMITRY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH9692
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9692
UBS AG
Type 1: dealing in securities
09 Dec 2025 - 14 Dec 2025
No
AH9692
UBS AG
Type 4: advising on securities
09 Dec 2025 - 14 Dec 2025
No
AH9692
UBS AG
Type 1: dealing in securities
17 Mar 2025 - 21 Mar 2025
No
AH9692
UBS AG
Type 4: advising on securities
17 Mar 2025 - 21 Mar 2025
No
AH9692
UBS AG
Type 1: dealing in securities
13 Sep 2024 - 20 Sep 2024
No
AH9692
UBS AG
Type 4: advising on securities
13 Sep 2024 - 20 Sep 2024
No
AH9692
UBS AG
Type 1: dealing in securities
02 Feb 2024 - 08 Feb 2024
No
AH9692
UBS AG
Type 4: advising on securities
02 Feb 2024 - 08 Feb 2024
No
AH9692
UBS AG
Type 1: dealing in securities
08 May 2023 - 12 May 2023
No
AH9692
UBS AG
Type 4: advising on securities
08 May 2023 - 12 May 2023
No
AH9692
UBS AG
Type 1: dealing in securities
19 Oct 2018 - 24 Oct 2018
No
AH9692
UBS AG
Type 4: advising on securities
19 Oct 2018 - 24 Oct 2018
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.