Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEUNG, KWAN YUEN
Chinese Name of Relevant Individual
梁鈞苑
HKMA Registration Number
AF3852
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 10 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2015 - 15 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2015 - 15 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2015 - 15 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2015 - 15 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2014 - 29 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Mar 2014 - 29 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Nov 2011 - 02 Mar 2014
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
19 Nov 2011 - 02 Mar 2014
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
LEUNG, KWAN YUEN
:
Chinese Name of Relevant Individual
梁鈞苑
:
HKMA Registration Number
AF3852
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
10 Nov 2021
No
CLIENT ACCOUNT MANAGER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3852
UBS AG
Type 1: dealing in securities
Since 10 Nov 2021
No
AF3852
CITIBANK, N.A.
Type 1: dealing in securities
03 Apr 2015 - 15 Oct 2021
No
AF3852
CITIBANK, N.A.
Type 4: advising on securities
03 Apr 2015 - 15 Oct 2021
No
AF3852
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
03 Apr 2015 - 15 Oct 2021
No
AF3852
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
03 Apr 2015 - 15 Oct 2021
No
AF3852
CTBC BANK CO., LTD.
Type 1: dealing in securities
08 Mar 2014 - 29 Mar 2015
No
AF3852
CTBC BANK CO., LTD.
Type 4: advising on securities
08 Mar 2014 - 29 Mar 2015
No
AF3852
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Nov 2011 - 02 Mar 2014
No
AF3852
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Nov 2011 - 02 Mar 2014
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.