Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DING, XIAOYU
Chinese Name of Relevant Individual
丁小雨
HKMA Registration Number
AG2701
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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 26 Jul 2022
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 26 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2020 - 08 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2020 - 08 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2014 - 07 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2014 - 07 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2014 - 17 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2014 - 17 Aug 2014
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
DING, XIAOYU
:
Chinese Name of Relevant Individual
丁小雨
:
HKMA Registration Number
AG2701
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
26 Jul 2022
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
26 Jul 2022
No
CLIENT ADVISOR WM
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2701
UBS AG
Type 1: dealing in securities
Since 26 Jul 2022
No
AG2701
UBS AG
Type 4: advising on securities
Since 26 Jul 2022
No
AG2701
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
28 Oct 2020 - 08 Apr 2022
No
AG2701
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
28 Oct 2020 - 08 Apr 2022
No
AG2701
CREDIT SUISSE AG
Type 1: dealing in securities
04 Nov 2014 - 07 Aug 2020
No
AG2701
CREDIT SUISSE AG
Type 4: advising on securities
04 Nov 2014 - 07 Aug 2020
No
AG2701
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Mar 2014 - 17 Aug 2014
No
AG2701
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Mar 2014 - 17 Aug 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.