Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUO, XINYU
Chinese Name of Relevant Individual
郭鑫昱
HKMA Registration Number
AF9965
Other HKMA Registration Number(s)
AG6828
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
Since 13 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
Since 13 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
Since 13 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2013 - 12 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
03 Jun 2013 - 12 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
03 Jun 2013 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
GUO, XINYU
:
Chinese Name of Relevant Individual
郭鑫昱
:
HKMA Registration Number
AF9965
:
Other HKMA Registration Number(s)
AG6828
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6828
UBS AG
Type 1: dealing in securities
Since 13 Mar 2015
No
AG6828
UBS AG
Type 4: advising on securities
Since 13 Mar 2015
No
AG6828
UBS AG
Type 6: advising on corporate finance
Since 13 Mar 2015
No
AF9965
UBS AG
Type 1: dealing in securities
03 Jun 2013 - 12 Mar 2015
No
AF9965
UBS AG
Type 4: advising on securities
03 Jun 2013 - 12 Mar 2015
No
AF9965
UBS AG
Type 6: advising on corporate finance
03 Jun 2013 - 12 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.