Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MURPHY, DANIEL JOSEPH
Chinese Name of Relevant Individual
HKMA Registration Number
AG0406
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
02 Feb 2021 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Feb 2021 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
02 Feb 2021 - 28 Feb 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Oct 2020 - 01 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
14 Oct 2020 - 01 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Mar 2017 - 01 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2014 - 06 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2014 - 06 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jul 2013 - 20 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jul 2013 - 20 May 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
MURPHY, DANIEL JOSEPH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0406
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0406
UBS AG
Type 1: dealing in securities
02 Feb 2021 - 28 Feb 2022
Yes
AG0406
UBS AG
Type 4: advising on securities
02 Feb 2021 - 28 Feb 2022
Yes
AG0406
UBS AG
Type 7: providing automated trading services
02 Feb 2021 - 28 Feb 2022
Yes
AG0406
UBS AG
Type 4: advising on securities
14 Oct 2020 - 01 Feb 2021
No
AG0406
UBS AG
Type 7: providing automated trading services
14 Oct 2020 - 01 Feb 2021
No
AG0406
UBS AG
Type 1: dealing in securities
16 Mar 2017 - 01 Feb 2021
No
AG0406
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
21 May 2014 - 06 Dec 2016
Yes
AG0406
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
21 May 2014 - 06 Dec 2016
Yes
AG0406
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Jul 2013 - 20 May 2014
No
AG0406
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Jul 2013 - 20 May 2014
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.