Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIAN, JUNNAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG5525
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
05 Nov 2018 - 09 Nov 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
05 Nov 2018 - 09 Nov 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
16 Mar 2018 - 23 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
16 Mar 2018 - 23 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
19 Jan 2018 - 27 Jan 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
19 Jan 2018 - 27 Jan 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
25 Jul 2017 - 30 Jul 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
25 Jul 2017 - 30 Jul 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
01 Jun 2017 - 07 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
01 Jun 2017 - 07 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
07 Nov 2016 - 12 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
07 Nov 2016 - 12 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
13 Jul 2016 - 15 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
13 Jul 2016 - 15 Jul 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
22 Sep 2015 - 25 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
LIAN, JUNNAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5525
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5525
UBS AG
Type 1: dealing in securities
05 Nov 2018 - 09 Nov 2018
No
AG5525
UBS AG
Type 4: advising on securities
05 Nov 2018 - 09 Nov 2018
No
AG5525
UBS AG
Type 1: dealing in securities
16 Mar 2018 - 23 Mar 2018
No
AG5525
UBS AG
Type 4: advising on securities
16 Mar 2018 - 23 Mar 2018
No
AG5525
UBS AG
Type 1: dealing in securities
19 Jan 2018 - 27 Jan 2018
No
AG5525
UBS AG
Type 4: advising on securities
19 Jan 2018 - 27 Jan 2018
No
AG5525
UBS AG
Type 1: dealing in securities
25 Jul 2017 - 30 Jul 2017
No
AG5525
UBS AG
Type 4: advising on securities
25 Jul 2017 - 30 Jul 2017
No
AG5525
UBS AG
Type 1: dealing in securities
01 Jun 2017 - 07 Jun 2017
No
AG5525
UBS AG
Type 4: advising on securities
01 Jun 2017 - 07 Jun 2017
No
AG5525
UBS AG
Type 1: dealing in securities
07 Nov 2016 - 12 Nov 2016
No
AG5525
UBS AG
Type 4: advising on securities
07 Nov 2016 - 12 Nov 2016
No
AG5525
UBS AG
Type 1: dealing in securities
13 Jul 2016 - 15 Jul 2016
No
AG5525
UBS AG
Type 4: advising on securities
13 Jul 2016 - 15 Jul 2016
No
AG5525
UBS AG
Type 1: dealing in securities
22 Sep 2015 - 25 Sep 2015
No
AG5525
UBS AG
Type 4: advising on securities
22 Sep 2015 - 25 Sep 2015
No
AG5525
UBS AG
Type 1: dealing in securities
17 Nov 2014 - 31 Dec 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.