Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUO, YUE YI
Chinese Name of Relevant Individual
郭玥儀
HKMA Registration Number
AC9673
Current Registration
Not Applicable
Business Address
Not Applicable
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 4: advising on securities
Effective Period
12 May 2007 - 08 Aug 2007
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
12 May 2007 - 08 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2006 - 08 May 2007
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
10 Jun 2006 - 08 May 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
GUO, YUE YI
:
Chinese Name of Relevant Individual
郭玥儀
:
HKMA Registration Number
AC9673
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9673
UBS AG
Type 4: advising on securities
12 May 2007 - 08 Aug 2007
No
AC9673
UBS AG
Type 6: advising on corporate finance
12 May 2007 - 08 Aug 2007
No
AC9673
UBS AG
Type 4: advising on securities
10 Jun 2006 - 08 May 2007
No
AC9673
UBS AG
Type 6: advising on corporate finance
10 Jun 2006 - 08 May 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.