Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, VIVIAN
Chinese Name of Relevant Individual
林潁昕
HKMA Registration Number
AC0550
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
22 Feb 2011
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS MANAGER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Feb 2011
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS MANAGER
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 22 Feb 2011
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 22 Feb 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Mar 2004 - 02 Sep 2009
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 Mar 2004 - 02 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2003 - 12 Feb 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2003 - 12 Feb 2004
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
LAM, VIVIAN
:
Chinese Name of Relevant Individual
林潁昕
:
HKMA Registration Number
AC0550
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
22 Feb 2011
No
BUSINESS MANAGER
UBS AG
Type 4: advising on securities
22 Feb 2011
No
BUSINESS MANAGER
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)
AC0550
UBS AG
Type 1: dealing in securities
Since 22 Feb 2011
No
AC0550
UBS AG
Type 4: advising on securities
Since 22 Feb 2011
No
AC0550
UBS AG
Type 1: dealing in securities
20 Mar 2004 - 02 Sep 2009
No
AC0550
UBS AG
Type 4: advising on securities
20 Mar 2004 - 02 Sep 2009
No
AC0550
UBS AG
Type 1: dealing in securities
09 Sep 2003 - 12 Feb 2004
No
AC0550
UBS AG
Type 4: advising on securities
09 Sep 2003 - 12 Feb 2004
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.