Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
IP, VIVIEN HSIAO LIN
Chinese Name of Relevant Individual
葉曉霖
HKMA Registration Number
AC6899
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
31 May 2024
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
31 May 2024
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 31 May 2024
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 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2013 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2013 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2011 - 16 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Nov 2011 - 16 May 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Nov 2011
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
06 Jun 2008 - 27 Oct 2011
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
04 Jun 2008 - 27 Oct 2011
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
28 Mar 2007 - 27 Oct 2011
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
01 Oct 2005 - 27 Oct 2011
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
13 Sep 2005 - 25 Mar 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
IP, VIVIEN HSIAO LIN
:
Chinese Name of Relevant Individual
葉曉霖
:
HKMA Registration Number
AC6899
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
31 May 2024
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)
AC6899
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AC6899
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AC6899
CREDIT SUISSE AG
Type 1: dealing in securities
18 Jun 2013 - 31 May 2024
No
AC6899
CREDIT SUISSE AG
Type 4: advising on securities
18 Jun 2013 - 31 May 2024
No
AC6899
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Nov 2011 - 16 May 2013
No
AC6899
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Nov 2011 - 16 May 2013
No
AC6899
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Nov 2011
No
AC6899
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Nov 2011
No
AC6899
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 27 Oct 2011
No
AC6899
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 27 Oct 2011
No
AC6899
CITIBANK, N.A.
Type 1: dealing in securities
28 Mar 2007 - 27 Oct 2011
No
AC6899
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 27 Oct 2011
No
AC6899
CITIBANK, N.A.
Type 1: dealing in securities
13 Sep 2005 - 25 Mar 2007
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.