Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CROSS, IAN JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AF4110
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
28 Oct 2012 - 02 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2012 - 02 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Dec 2011 - 16 Dec 2011
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 2011 - 16 Dec 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CROSS, IAN JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF4110
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4110
UBS AG
Type 1: dealing in securities
28 Oct 2012 - 02 Nov 2012
No
AF4110
UBS AG
Type 4: advising on securities
28 Oct 2012 - 02 Nov 2012
No
AF4110
UBS AG
Type 1: dealing in securities
12 Dec 2011 - 16 Dec 2011
No
AF4110
UBS AG
Type 4: advising on securities
12 Dec 2011 - 16 Dec 2011
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.