Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAO CHIEH CHERN, SARAH
Chinese Name of Relevant Individual
HKMA Registration Number
AI1448
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
23 May 2025 - 30 May 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
23 May 2025 - 30 May 2025
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
23 May 2025 - 30 May 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
03 Dec 2024 - 06 Dec 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
03 Dec 2024 - 06 Dec 2024
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
03 Dec 2024 - 06 Dec 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
17 Jun 2019 - 28 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
17 Jun 2019 - 28 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
17 Jun 2019 - 28 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
26 Apr 2019 - 03 May 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
26 Apr 2019 - 03 May 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
26 Apr 2019 - 03 May 2019
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
TSAO CHIEH CHERN, SARAH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI1448
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1448
UBS AG
Type 1: dealing in securities
23 May 2025 - 30 May 2025
No
AI1448
UBS AG
Type 4: advising on securities
23 May 2025 - 30 May 2025
No
AI1448
UBS AG
Type 6: advising on corporate finance
23 May 2025 - 30 May 2025
No
AI1448
UBS AG
Type 1: dealing in securities
03 Dec 2024 - 06 Dec 2024
No
AI1448
UBS AG
Type 4: advising on securities
03 Dec 2024 - 06 Dec 2024
No
AI1448
UBS AG
Type 6: advising on corporate finance
03 Dec 2024 - 06 Dec 2024
No
AI1448
UBS AG
Type 1: dealing in securities
17 Jun 2019 - 28 Jun 2019
No
AI1448
UBS AG
Type 4: advising on securities
17 Jun 2019 - 28 Jun 2019
No
AI1448
UBS AG
Type 6: advising on corporate finance
17 Jun 2019 - 28 Jun 2019
No
AI1448
UBS AG
Type 1: dealing in securities
26 Apr 2019 - 03 May 2019
No
AI1448
UBS AG
Type 4: advising on securities
26 Apr 2019 - 03 May 2019
No
AI1448
UBS AG
Type 6: advising on corporate finance
26 Apr 2019 - 03 May 2019
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.