Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

CHIN, HUNG I DAVID

Chinese Name of Relevant Individual

金弘毅

HKMA Registration Number

AC0065

Current Registration

Not Applicable

Business Address

Conditions

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

20 Sep 2017 - 31 Oct 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 4: advising on securities

Effective Period

20 Sep 2017 - 31 Oct 2022

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

20 Sep 2017 - 31 Oct 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 1: dealing in securities

Effective Period

01 Jul 2015 - 16 Dec 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 4: advising on securities

Effective Period

01 Jul 2015 - 16 Dec 2016

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

01 Jul 2015 - 16 Dec 2016

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 1: dealing in securities

Effective Period

04 Jan 2006 - 30 Jun 2015

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 4: advising on securities

Effective Period

04 Jan 2006 - 30 Jun 2015

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

04 Jan 2006 - 30 Jun 2015

Is an Executive Officer? (Yes / No)

Yes

HKMA Registration Number

A

Registered Institution

UBS AG

Regulated Activity

Type 4: advising on securities

Effective Period

09 Jun 2003 - 03 Jan 2006

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

09 Jun 2003 - 03 Jan 2006

Is an Executive Officer? (Yes / No)

No

Records: 1-11 of 11

Public Disciplinary Actions

:

Name of Relevant Individual

CHIN, HUNG I DAVID

:

Chinese Name of Relevant Individual

金弘毅

:

HKMA Registration Number

AC0065

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AC0065

UBS AG

Type 1: dealing in securities

20 Sep 2017 - 31 Oct 2022

No

AC0065

UBS AG

Type 4: advising on securities

20 Sep 2017 - 31 Oct 2022

No

AC0065

UBS AG

Type 6: advising on corporate finance

20 Sep 2017 - 31 Oct 2022

No

AC0065

UBS AG

Type 1: dealing in securities

01 Jul 2015 - 16 Dec 2016

No

AC0065

UBS AG

Type 4: advising on securities

01 Jul 2015 - 16 Dec 2016

No

AC0065

UBS AG

Type 6: advising on corporate finance

01 Jul 2015 - 16 Dec 2016

No

AC0065

UBS AG

Type 1: dealing in securities

04 Jan 2006 - 30 Jun 2015

Yes

AC0065

UBS AG

Type 4: advising on securities

04 Jan 2006 - 30 Jun 2015

Yes

AC0065

UBS AG

Type 6: advising on corporate finance

04 Jan 2006 - 30 Jun 2015

Yes

AC0065

UBS AG

Type 4: advising on securities

09 Jun 2003 - 03 Jan 2006

No

AC0065

UBS AG

Type 6: advising on corporate finance

09 Jun 2003 - 03 Jan 2006

No