Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUO, ZILI
Chinese Name of Relevant Individual
郭自力
HKMA Registration Number
AF1389
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 Oct 2022 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2022 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 Oct 2022 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2021 - 04 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jun 2021 - 04 Oct 2022
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
11 Jun 2021 - 04 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2011 - 24 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2011 - 24 Jun 2016
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
31 May 2011 - 24 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, ZILI
:
Chinese Name of Relevant Individual
郭自力
:
HKMA Registration Number
AF1389
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1389
UBS AG
Type 1: dealing in securities
05 Oct 2022 - 15 Mar 2024
Yes
AF1389
UBS AG
Type 4: advising on securities
05 Oct 2022 - 15 Mar 2024
Yes
AF1389
UBS AG
Type 6: advising on corporate finance
05 Oct 2022 - 15 Mar 2024
Yes
AF1389
UBS AG
Type 1: dealing in securities
11 Jun 2021 - 04 Oct 2022
No
AF1389
UBS AG
Type 4: advising on securities
11 Jun 2021 - 04 Oct 2022
No
AF1389
UBS AG
Type 6: advising on corporate finance
11 Jun 2021 - 04 Oct 2022
No
AF1389
UBS AG
Type 1: dealing in securities
31 May 2011 - 24 Jun 2016
No
AF1389
UBS AG
Type 4: advising on securities
31 May 2011 - 24 Jun 2016
No
AF1389
UBS AG
Type 6: advising on corporate finance
31 May 2011 - 24 Jun 2016
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.