Register of Securities Staff of AIs

Last updated on 04/10/2024
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Name of Relevant Individual
GUO, QINGKUN
Chinese Name of Relevant Individual

郭慶坤
HKMA Registration Number
AJ0978
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 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
First date of engagement
25 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
GUO, QINGKUN
:
Chinese Name of Relevant Individual
郭慶坤
:
HKMA Registration Number
AJ0978
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 2022
No
PRODUCT SPECIALIST
UBS AG
Type 4: advising on securities
25 Nov 2022
No
PRODUCT SPECIALIST
UBS AG
Type 9: asset management
25 Nov 2022
No
PRODUCT SPECIALIST