Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JOHNSON, RICHARD ANTHONY
Chinese Name of Relevant Individual
HKMA Registration Number
AG1777
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
17 May 2015 - 23 May 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
17 May 2015 - 23 May 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 Mar 2015 - 05 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 Mar 2015 - 05 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 Dec 2014 - 04 Dec 2014
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 Dec 2014 - 04 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2014 - 24 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2014 - 24 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Nov 2013 - 29 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Nov 2013 - 29 Nov 2013
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
JOHNSON, RICHARD ANTHONY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1777
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1777
UBS AG
Type 1: dealing in securities
17 May 2015 - 23 May 2015
No
AG1777
UBS AG
Type 4: advising on securities
17 May 2015 - 23 May 2015
No
AG1777
UBS AG
Type 1: dealing in securities
03 Mar 2015 - 05 Mar 2015
No
AG1777
UBS AG
Type 4: advising on securities
03 Mar 2015 - 05 Mar 2015
No
AG1777
UBS AG
Type 1: dealing in securities
03 Dec 2014 - 04 Dec 2014
No
AG1777
UBS AG
Type 4: advising on securities
03 Dec 2014 - 04 Dec 2014
No
AG1777
UBS AG
Type 1: dealing in securities
21 Oct 2014 - 24 Oct 2014
No
AG1777
UBS AG
Type 4: advising on securities
21 Oct 2014 - 24 Oct 2014
No
AG1777
UBS AG
Type 1: dealing in securities
26 Nov 2013 - 29 Nov 2013
No
AG1777
UBS AG
Type 4: advising on securities
26 Nov 2013 - 29 Nov 2013
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.