Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LIU, YU CHEN
Chinese Name of Relevant Individual

劉又禎
HKMA Registration Number
AF5476
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
20 Nov 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Nov 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LIU, YU CHEN
:
Chinese Name of Relevant Individual
劉又禎
:
HKMA Registration Number
AF5476
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
20 Nov 2018
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
20 Nov 2018
No
CLIENT ADVISOR WM