Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SZE YUEN
Chinese Name of Relevant Individual
陳思元
HKMA Registration Number
AI7560
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 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
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 Nov 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 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2023 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2023 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2023 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2023 - 29 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2021 - 02 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 Sep 2021 - 02 Jun 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CHAN, SZE YUEN
:
Chinese Name of Relevant Individual
陳思元
:
HKMA Registration Number
AI7560
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
25 Nov 2025
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
25 Nov 2025
No
CLIENT ADVISOR WM
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)
AI7560
UBS AG
Type 1: dealing in securities
Since 25 Nov 2025
No
AI7560
UBS AG
Type 4: advising on securities
Since 25 Nov 2025
No
AI7560
CITIBANK, N.A.
Type 1: dealing in securities
26 Apr 2023 - 29 Aug 2025
No
AI7560
CITIBANK, N.A.
Type 4: advising on securities
26 Apr 2023 - 29 Aug 2025
No
AI7560
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
26 Apr 2023 - 29 Aug 2025
No
AI7560
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
26 Apr 2023 - 29 Aug 2025
No
AI7560
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
01 Sep 2021 - 02 Jun 2022
No
AI7560
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
01 Sep 2021 - 02 Jun 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.