Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JAMES, ALUN RICHARD
Chinese Name of Relevant Individual
HKMA Registration Number
AG1071
Other HKMA Registration Number(s)
AG6825
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
22 May 2026 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2025 - 14 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2025 - 09 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2024 - 01 Nov 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
20 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
14 Apr 2023 - 21 Apr 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
13 Mar 2015 - 20 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2013 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
JAMES, ALUN RICHARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1071
:
Other HKMA Registration Number(s)
AG6825
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6825
UBS AG
Type 1: dealing in securities
22 May 2026 - 29 May 2026
No
AG6825
UBS AG
Type 1: dealing in securities
07 Nov 2025 - 14 Nov 2025
No
AG6825
UBS AG
Type 1: dealing in securities
06 May 2025 - 09 May 2025
No
AG6825
UBS AG
Type 1: dealing in securities
25 Oct 2024 - 01 Nov 2024
No
AG6825
UBS AG
Type 1: dealing in securities
20 Oct 2023 - 27 Oct 2023
No
AG6825
UBS AG
Type 1: dealing in securities
14 Apr 2023 - 21 Apr 2023
No
AG6825
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 20 May 2022
No
AG1071
UBS AG
Type 1: dealing in securities
18 Sep 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.