Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YELL, MATTHEW JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AG1588
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
07 May 2016 - 11 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 May 2016 - 11 May 2016
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 2015 - 22 Sep 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
18 Sep 2015 - 22 Sep 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
08 Nov 2013 - 10 Jul 2015
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
08 Nov 2013 - 10 Jul 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
YELL, MATTHEW JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1588
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1588
UBS AG
Type 1: dealing in securities
07 May 2016 - 11 May 2016
No
AG1588
UBS AG
Type 4: advising on securities
07 May 2016 - 11 May 2016
No
AG1588
UBS AG
Type 1: dealing in securities
18 Sep 2015 - 22 Sep 2015
No
AG1588
UBS AG
Type 4: advising on securities
18 Sep 2015 - 22 Sep 2015
No
AG1588
UBS AG
Type 1: dealing in securities
08 Nov 2013 - 10 Jul 2015
No
AG1588
UBS AG
Type 7: providing automated trading services
08 Nov 2013 - 10 Jul 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.