Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LOCK, TIMOTHY JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AF7947
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
09 Jan 2024 - 12 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2023 - 27 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2023 - 02 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2012 - 31 May 2022
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
LOCK, TIMOTHY JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7947
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7947
UBS AG
Type 1: dealing in securities
09 Jan 2024 - 12 Jan 2024
No
AF7947
UBS AG
Type 1: dealing in securities
24 Oct 2023 - 27 Oct 2023
No
AF7947
UBS AG
Type 1: dealing in securities
29 May 2023 - 02 Jun 2023
No
AF7947
UBS AG
Type 1: dealing in securities
30 Oct 2012 - 31 May 2022
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.