Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, HON YIN
Chinese Name of Relevant Individual
陳瀚賢
HKMA Registration Number
AF2813
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
12 Dec 2018 - 30 Aug 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
12 Dec 2018 - 30 Aug 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
12 Dec 2018 - 30 Aug 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
07 Sep 2011 - 18 Dec 2015
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 Sep 2011 - 18 Dec 2015
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
07 Sep 2011 - 18 Dec 2015
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
CHAN, HON YIN
:
Chinese Name of Relevant Individual
陳瀚賢
:
HKMA Registration Number
AF2813
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2813
UBS AG
Type 1: dealing in securities
12 Dec 2018 - 30 Aug 2022
No
AF2813
UBS AG
Type 4: advising on securities
12 Dec 2018 - 30 Aug 2022
No
AF2813
UBS AG
Type 6: advising on corporate finance
12 Dec 2018 - 30 Aug 2022
No
AF2813
UBS AG
Type 1: dealing in securities
07 Sep 2011 - 18 Dec 2015
No
AF2813
UBS AG
Type 4: advising on securities
07 Sep 2011 - 18 Dec 2015
No
AF2813
UBS AG
Type 6: advising on corporate finance
07 Sep 2011 - 18 Dec 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.