Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIAO, MING
Chinese Name of Relevant Individual
廖明
HKMA Registration Number
AF1153
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
22 Mar 2014 - 11 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2014 - 11 Dec 2014
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
22 Mar 2014 - 11 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2011 - 21 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 May 2011 - 21 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LIAO, MING
:
Chinese Name of Relevant Individual
廖明
:
HKMA Registration Number
AF1153
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1153
UBS AG
Type 1: dealing in securities
22 Mar 2014 - 11 Dec 2014
No
AF1153
UBS AG
Type 4: advising on securities
22 Mar 2014 - 11 Dec 2014
No
AF1153
UBS AG
Type 6: advising on corporate finance
22 Mar 2014 - 11 Dec 2014
No
AF1153
BARCLAYS BANK PLC
Type 1: dealing in securities
11 May 2011 - 21 Oct 2012
No
AF1153
BARCLAYS BANK PLC
Type 6: advising on corporate finance
11 May 2011 - 21 Oct 2012
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.