Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHANG, HELEN
Chinese Name of Relevant Individual
張嘉文
HKMA Registration Number
AG3786
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
03 Apr 2025 - 11 Apr 2025
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 Apr 2025 - 11 Apr 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
09 Jan 2024 - 13 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2024 - 13 Jan 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
11 Aug 2023 - 18 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2023 - 18 Aug 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
09 Jan 2023 - 13 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2023 - 13 Jan 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
29 Jul 2022 - 12 Aug 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
29 Jul 2022 - 12 Aug 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
09 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2020 - 15 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jan 2020 - 15 Jan 2020
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 Jun 2019 - 13 Jun 2019
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 Jun 2019 - 13 Jun 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 31
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
CHANG, HELEN
:
Chinese Name of Relevant Individual
張嘉文
:
HKMA Registration Number
AG3786
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3786
UBS AG
Type 1: dealing in securities
03 Apr 2025 - 11 Apr 2025
No
AG3786
UBS AG
Type 4: advising on securities
03 Apr 2025 - 11 Apr 2025
No
AG3786
UBS AG
Type 1: dealing in securities
09 Jan 2024 - 13 Jan 2024
No
AG3786
UBS AG
Type 4: advising on securities
09 Jan 2024 - 13 Jan 2024
No
AG3786
UBS AG
Type 1: dealing in securities
11 Aug 2023 - 18 Aug 2023
No
AG3786
UBS AG
Type 4: advising on securities
11 Aug 2023 - 18 Aug 2023
No
AG3786
UBS AG
Type 1: dealing in securities
09 Jan 2023 - 13 Jan 2023
No
AG3786
UBS AG
Type 4: advising on securities
09 Jan 2023 - 13 Jan 2023
No
AG3786
UBS AG
Type 1: dealing in securities
29 Jul 2022 - 12 Aug 2022
No
AG3786
UBS AG
Type 4: advising on securities
29 Jul 2022 - 12 Aug 2022
No
AG3786
UBS AG
Type 1: dealing in securities
09 Jan 2020 - 15 Jan 2020
No
AG3786
UBS AG
Type 4: advising on securities
09 Jan 2020 - 15 Jan 2020
No
AG3786
UBS AG
Type 6: advising on corporate finance
09 Jan 2020 - 15 Jan 2020
No
AG3786
UBS AG
Type 1: dealing in securities
07 Jun 2019 - 13 Jun 2019
No
AG3786
UBS AG
Type 4: advising on securities
07 Jun 2019 - 13 Jun 2019
No
AG3786
UBS AG
Type 6: advising on corporate finance
07 Jun 2019 - 13 Jun 2019
No
AG3786
UBS AG
Type 1: dealing in securities
02 Nov 2018 - 09 Nov 2018
No
AG3786
UBS AG
Type 4: advising on securities
02 Nov 2018 - 09 Nov 2018
No
AG3786
UBS AG
Type 6: advising on corporate finance
02 Nov 2018 - 09 Nov 2018
No
AG3786
UBS AG
Type 1: dealing in securities
23 May 2018 - 02 Jun 2018
No
AG3786
UBS AG
Type 4: advising on securities
23 May 2018 - 02 Jun 2018
No
AG3786
UBS AG
Type 6: advising on corporate finance
23 May 2018 - 02 Jun 2018
No
AG3786
UBS AG
Type 1: dealing in securities
12 Oct 2017 - 23 Oct 2017
No
AG3786
UBS AG
Type 4: advising on securities
12 Oct 2017 - 23 Oct 2017
No
AG3786
UBS AG
Type 6: advising on corporate finance
12 Oct 2017 - 23 Oct 2017
No
AG3786
UBS AG
Type 1: dealing in securities
19 Apr 2017 - 28 Apr 2017
No
AG3786
UBS AG
Type 4: advising on securities
19 Apr 2017 - 28 Apr 2017
No
AG3786
UBS AG
Type 6: advising on corporate finance
19 Apr 2017 - 28 Apr 2017
No
AG3786
UBS AG
Type 1: dealing in securities
20 Jun 2014 - 20 Feb 2017
No
AG3786
UBS AG
Type 4: advising on securities
20 Jun 2014 - 20 Feb 2017
No
AG3786
UBS AG
Type 6: advising on corporate finance
20 Jun 2014 - 20 Feb 2017
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.