Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WILKS, RICHARD JOHN
Chinese Name of Relevant Individual
HKMA Registration Number
AG4671
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
02 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
02 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
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 02 Mar 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
Since 02 Mar 2024
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
Since 02 Mar 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
20 Nov 2023 - 24 Nov 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
20 Nov 2023 - 24 Nov 2023
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
20 Nov 2023 - 24 Nov 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
16 Oct 2023 - 20 Oct 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
16 Oct 2023 - 20 Oct 2023
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
16 Oct 2023 - 20 Oct 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
08 Aug 2023 - 12 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
08 Aug 2023 - 12 Aug 2023
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
08 Aug 2023 - 12 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
04 Aug 2018 - 01 Sep 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
04 Aug 2018 - 01 Sep 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
04 Aug 2018 - 01 Sep 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 33
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
WILKS, RICHARD JOHN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4671
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
02 Mar 2024
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
02 Mar 2024
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
02 Mar 2024
No
INV. BANKING TEAM LEADER
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)
AG4671
UBS AG
Type 1: dealing in securities
Since 02 Mar 2024
No
AG4671
UBS AG
Type 4: advising on securities
Since 02 Mar 2024
No
AG4671
UBS AG
Type 6: advising on corporate finance
Since 02 Mar 2024
No
AG4671
UBS AG
Type 1: dealing in securities
20 Nov 2023 - 24 Nov 2023
No
AG4671
UBS AG
Type 4: advising on securities
20 Nov 2023 - 24 Nov 2023
No
AG4671
UBS AG
Type 6: advising on corporate finance
20 Nov 2023 - 24 Nov 2023
No
AG4671
UBS AG
Type 1: dealing in securities
16 Oct 2023 - 20 Oct 2023
No
AG4671
UBS AG
Type 4: advising on securities
16 Oct 2023 - 20 Oct 2023
No
AG4671
UBS AG
Type 6: advising on corporate finance
16 Oct 2023 - 20 Oct 2023
No
AG4671
UBS AG
Type 1: dealing in securities
08 Aug 2023 - 12 Aug 2023
No
AG4671
UBS AG
Type 4: advising on securities
08 Aug 2023 - 12 Aug 2023
No
AG4671
UBS AG
Type 6: advising on corporate finance
08 Aug 2023 - 12 Aug 2023
No
AG4671
UBS AG
Type 1: dealing in securities
04 Aug 2018 - 01 Sep 2020
No
AG4671
UBS AG
Type 4: advising on securities
04 Aug 2018 - 01 Sep 2020
No
AG4671
UBS AG
Type 6: advising on corporate finance
04 Aug 2018 - 01 Sep 2020
No
AG4671
UBS AG
Type 1: dealing in securities
09 Feb 2018 - 13 Feb 2018
No
AG4671
UBS AG
Type 4: advising on securities
09 Feb 2018 - 13 Feb 2018
No
AG4671
UBS AG
Type 6: advising on corporate finance
09 Feb 2018 - 13 Feb 2018
No
AG4671
UBS AG
Type 1: dealing in securities
21 Nov 2017 - 24 Nov 2017
No
AG4671
UBS AG
Type 4: advising on securities
21 Nov 2017 - 24 Nov 2017
No
AG4671
UBS AG
Type 6: advising on corporate finance
21 Nov 2017 - 24 Nov 2017
No
AG4671
UBS AG
Type 1: dealing in securities
26 Sep 2017 - 29 Sep 2017
No
AG4671
UBS AG
Type 4: advising on securities
26 Sep 2017 - 29 Sep 2017
No
AG4671
UBS AG
Type 6: advising on corporate finance
26 Sep 2017 - 29 Sep 2017
No
AG4671
UBS AG
Type 1: dealing in securities
13 Mar 2017 - 15 Mar 2017
No
AG4671
UBS AG
Type 4: advising on securities
13 Mar 2017 - 15 Mar 2017
No
AG4671
UBS AG
Type 6: advising on corporate finance
13 Mar 2017 - 15 Mar 2017
No
AG4671
UBS AG
Type 1: dealing in securities
12 Dec 2016 - 15 Dec 2016
No
AG4671
UBS AG
Type 4: advising on securities
12 Dec 2016 - 15 Dec 2016
No
AG4671
UBS AG
Type 6: advising on corporate finance
12 Dec 2016 - 15 Dec 2016
No
AG4671
UBS AG
Type 1: dealing in securities
04 Sep 2014 - 10 Sep 2014
No
AG4671
UBS AG
Type 4: advising on securities
04 Sep 2014 - 10 Sep 2014
No
AG4671
UBS AG
Type 6: advising on corporate finance
04 Sep 2014 - 10 Sep 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.