Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIAO, JUN
Chinese Name of Relevant Individual
廖君
HKMA Registration Number
AF6971
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
21 Aug 2012 - 22 Mar 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
21 Aug 2012 - 22 Mar 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
21 Aug 2012 - 22 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
LIAO, JUN
:
Chinese Name of Relevant Individual
廖君
:
HKMA Registration Number
AF6971
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6971
UBS AG
Type 1: dealing in securities
21 Aug 2012 - 22 Mar 2015
No
AF6971
UBS AG
Type 4: advising on securities
21 Aug 2012 - 22 Mar 2015
No
AF6971
UBS AG
Type 6: advising on corporate finance
21 Aug 2012 - 22 Mar 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.