Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUO, QUN
Chinese Name of Relevant Individual
郭群
HKMA Registration Number
AG5053
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
11 Oct 2014 - 08 Jul 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
11 Oct 2014 - 08 Jul 2016
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
11 Oct 2014 - 08 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
GUO, QUN
:
Chinese Name of Relevant Individual
郭群
:
HKMA Registration Number
AG5053
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5053
UBS AG
Type 1: dealing in securities
11 Oct 2014 - 08 Jul 2016
No
AG5053
UBS AG
Type 4: advising on securities
11 Oct 2014 - 08 Jul 2016
No
AG5053
UBS AG
Type 6: advising on corporate finance
11 Oct 2014 - 08 Jul 2016
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.