Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHO, TIN TAK
Chinese Name of Relevant Individual
曹天德
HKMA Registration Number
AI3276
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
14 Dec 2022 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Dec 2022 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Dec 2022 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2019 - 13 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2019 - 13 Dec 2022
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
06 Nov 2019 - 13 Dec 2022
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
CHO, TIN TAK
:
Chinese Name of Relevant Individual
曹天德
:
HKMA Registration Number
AI3276
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3276
UBS AG
Type 1: dealing in securities
14 Dec 2022 - 29 Aug 2025
Yes
AI3276
UBS AG
Type 4: advising on securities
14 Dec 2022 - 29 Aug 2025
Yes
AI3276
UBS AG
Type 6: advising on corporate finance
14 Dec 2022 - 29 Aug 2025
Yes
AI3276
UBS AG
Type 1: dealing in securities
06 Nov 2019 - 13 Dec 2022
No
AI3276
UBS AG
Type 4: advising on securities
06 Nov 2019 - 13 Dec 2022
No
AI3276
UBS AG
Type 6: advising on corporate finance
06 Nov 2019 - 13 Dec 2022
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.