Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HE, YINGQING
Chinese Name of Relevant Individual
賀盈青
HKMA Registration Number
AI4863
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
25 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 25 Apr 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
Since 25 Apr 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
Since 25 Apr 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
02 Oct 2020 - 23 Oct 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 Oct 2020 - 23 Oct 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
02 Oct 2020 - 23 Oct 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
12 Aug 2020 - 28 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2020 - 28 Sep 2020
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
12 Aug 2020 - 28 Sep 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
HE, YINGQING
:
Chinese Name of Relevant Individual
賀盈青
:
HKMA Registration Number
AI4863
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
25 Apr 2025
No
INV. BANKING ASSOCIATE
UBS AG
Type 4: advising on securities
25 Apr 2025
No
INV. BANKING ASSOCIATE
UBS AG
Type 6: advising on corporate finance
25 Apr 2025
No
INV. BANKING ASSOCIATE
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4863
UBS AG
Type 1: dealing in securities
Since 25 Apr 2025
No
AI4863
UBS AG
Type 4: advising on securities
Since 25 Apr 2025
No
AI4863
UBS AG
Type 6: advising on corporate finance
Since 25 Apr 2025
No
AI4863
UBS AG
Type 1: dealing in securities
02 Oct 2020 - 23 Oct 2024
No
AI4863
UBS AG
Type 4: advising on securities
02 Oct 2020 - 23 Oct 2024
No
AI4863
UBS AG
Type 6: advising on corporate finance
02 Oct 2020 - 23 Oct 2024
No
AI4863
UBS AG
Type 1: dealing in securities
12 Aug 2020 - 28 Sep 2020
No
AI4863
UBS AG
Type 4: advising on securities
12 Aug 2020 - 28 Sep 2020
No
AI4863
UBS AG
Type 6: advising on corporate finance
12 Aug 2020 - 28 Sep 2020
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.