Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TANG, MIN
Chinese Name of Relevant Individual
湯敏
HKMA Registration Number
AI5674
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 Jun 2022 - 14 Jun 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
14 Jun 2022 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
14 Jun 2022 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2021 - 23 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2021 - 23 Feb 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
TANG, MIN
:
Chinese Name of Relevant Individual
湯敏
:
HKMA Registration Number
AI5674
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5674
UBS AG
Type 1: dealing in securities
14 Jun 2022 - 14 Jun 2024
No
AI5674
UBS AG
Type 4: advising on securities
14 Jun 2022 - 14 Jun 2024
No
AI5674
UBS AG
Type 7: providing automated trading services
14 Jun 2022 - 14 Jun 2024
No
AI5674
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
04 Jan 2021 - 23 Feb 2022
No
AI5674
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
04 Jan 2021 - 23 Feb 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.