Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
OH, SEUNG JOO
Chinese Name of Relevant Individual
吳昇宙
HKMA Registration Number
AJ3333
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
16 Oct 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Oct 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
16 Oct 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
18 Aug 2025
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
UBS AG
Effective Date
18 Aug 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
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 18 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
Since 18 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
Since 18 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
16 Oct 2023 - 17 Aug 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
16 Oct 2023 - 17 Aug 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
16 Oct 2023 - 17 Aug 2025
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
OH, SEUNG JOO
:
Chinese Name of Relevant Individual
吳昇宙
:
HKMA Registration Number
AJ3333
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
16 Oct 2023
Yes
INVESTMENT BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
16 Oct 2023
Yes
INVESTMENT BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
16 Oct 2023
Yes
INVESTMENT BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
18 Aug 2025
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
UBS AG
2
18 Aug 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3333
UBS AG
Type 1: dealing in securities
Since 18 Aug 2025
Yes
AJ3333
UBS AG
Type 4: advising on securities
Since 18 Aug 2025
Yes
AJ3333
UBS AG
Type 6: advising on corporate finance
Since 18 Aug 2025
Yes
AJ3333
UBS AG
Type 1: dealing in securities
16 Oct 2023 - 17 Aug 2025
No
AJ3333
UBS AG
Type 4: advising on securities
16 Oct 2023 - 17 Aug 2025
No
AJ3333
UBS AG
Type 6: advising on corporate finance
16 Oct 2023 - 17 Aug 2025
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.