Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIANG, HUA
Chinese Name of Relevant Individual
向華
HKMA Registration Number
AF0823
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 1: dealing in securities
Effective Period
05 Jan 2012 - 07 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2012 - 07 Mar 2017
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
05 Jan 2012 - 07 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2011 - 13 Dec 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
13 Apr 2011 - 13 Dec 2011
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
13 Apr 2011 - 13 Dec 2011
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
XIANG, HUA
:
Chinese Name of Relevant Individual
向華
:
HKMA Registration Number
AF0823
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0823
UBS AG
Type 1: dealing in securities
05 Jan 2012 - 07 Mar 2017
No
AF0823
UBS AG
Type 4: advising on securities
05 Jan 2012 - 07 Mar 2017
No
AF0823
UBS AG
Type 6: advising on corporate finance
05 Jan 2012 - 07 Mar 2017
No
AF0823
UBS AG
Type 1: dealing in securities
13 Apr 2011 - 13 Dec 2011
No
AF0823
UBS AG
Type 4: advising on securities
13 Apr 2011 - 13 Dec 2011
No
AF0823
UBS AG
Type 6: advising on corporate finance
13 Apr 2011 - 13 Dec 2011
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.