Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XUE, ZHAO
Chinese Name of Relevant Individual
薛曌
HKMA Registration Number
AI2239
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
02 Sep 2019 - 29 Nov 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
02 Sep 2019 - 29 Nov 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
02 Sep 2019 - 29 Nov 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
24 Jul 2019 - 02 Aug 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
24 Jul 2019 - 02 Aug 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
24 Jul 2019 - 02 Aug 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
XUE, ZHAO
:
Chinese Name of Relevant Individual
薛曌
:
HKMA Registration Number
AI2239
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2239
UBS AG
Type 1: dealing in securities
02 Sep 2019 - 29 Nov 2019
No
AI2239
UBS AG
Type 4: advising on securities
02 Sep 2019 - 29 Nov 2019
No
AI2239
UBS AG
Type 6: advising on corporate finance
02 Sep 2019 - 29 Nov 2019
No
AI2239
UBS AG
Type 1: dealing in securities
24 Jul 2019 - 02 Aug 2019
No
AI2239
UBS AG
Type 4: advising on securities
24 Jul 2019 - 02 Aug 2019
No
AI2239
UBS AG
Type 6: advising on corporate finance
24 Jul 2019 - 02 Aug 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.