Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHAO, MINGRAN
Chinese Name of Relevant Individual
赵鸣然
HKMA Registration Number
AF1969
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
11 Jul 2025 - 25 Jul 2025
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 Jul 2025 - 25 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Feb 2025 - 13 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2025 - 13 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Feb 2016 - 21 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Feb 2016 - 21 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2011 - 04 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
ZHAO, MINGRAN
:
Chinese Name of Relevant Individual
赵鸣然
:
HKMA Registration Number
AF1969
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1969
UBS AG
Type 1: dealing in securities
11 Jul 2025 - 25 Jul 2025
No
AF1969
UBS AG
Type 4: advising on securities
11 Jul 2025 - 25 Jul 2025
No
AF1969
UBS AG
Type 1: dealing in securities
07 Feb 2025 - 13 Feb 2025
No
AF1969
UBS AG
Type 4: advising on securities
07 Feb 2025 - 13 Feb 2025
No
AF1969
UBS AG
Type 1: dealing in securities
03 Feb 2016 - 21 Jul 2023
No
AF1969
UBS AG
Type 4: advising on securities
03 Feb 2016 - 21 Jul 2023
No
AF1969
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Jul 2011 - 04 Oct 2015
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.