Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAN, NI LYNN
Chinese Name of Relevant Individual
HKMA Registration Number
AG3723
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
08 Mar 2018 - 14 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Mar 2018 - 14 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2017 - 10 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2017 - 10 Jun 2017
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 Nov 2016 - 23 Nov 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
18 Nov 2016 - 23 Nov 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
06 Oct 2015 - 11 Oct 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
06 Oct 2015 - 11 Oct 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
22 Jun 2015 - 24 Jun 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
22 Jun 2015 - 24 Jun 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
05 Jan 2015 - 07 Jan 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
15 Jun 2014 - 16 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
HAN, NI LYNN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3723
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3723
UBS AG
Type 1: dealing in securities
08 Mar 2018 - 14 Mar 2018
No
AG3723
UBS AG
Type 4: advising on securities
08 Mar 2018 - 14 Mar 2018
No
AG3723
UBS AG
Type 1: dealing in securities
05 Jun 2017 - 10 Jun 2017
No
AG3723
UBS AG
Type 4: advising on securities
05 Jun 2017 - 10 Jun 2017
No
AG3723
UBS AG
Type 1: dealing in securities
18 Nov 2016 - 23 Nov 2016
No
AG3723
UBS AG
Type 4: advising on securities
18 Nov 2016 - 23 Nov 2016
No
AG3723
UBS AG
Type 1: dealing in securities
06 Oct 2015 - 11 Oct 2015
No
AG3723
UBS AG
Type 4: advising on securities
06 Oct 2015 - 11 Oct 2015
No
AG3723
UBS AG
Type 1: dealing in securities
22 Jun 2015 - 24 Jun 2015
No
AG3723
UBS AG
Type 4: advising on securities
22 Jun 2015 - 24 Jun 2015
No
AG3723
UBS AG
Type 1: dealing in securities
05 Jan 2015 - 07 Jan 2015
No
AG3723
UBS AG
Type 1: dealing in securities
15 Jun 2014 - 16 Jun 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.