Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SMYTH, BENJAMIN IAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG6308
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
22 Nov 2018 - 27 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
22 Nov 2018 - 27 Nov 2018
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
22 Nov 2018 - 27 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
23 Feb 2018 - 27 Feb 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
23 Feb 2018 - 27 Feb 2018
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
23 Feb 2018 - 27 Feb 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
24 Nov 2017 - 28 Nov 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
24 Nov 2017 - 28 Nov 2017
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
24 Nov 2017 - 28 Nov 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
25 Nov 2016 - 29 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
25 Nov 2016 - 29 Nov 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
25 Nov 2016 - 29 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
27 Jun 2016 - 28 Jun 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
27 Jun 2016 - 28 Jun 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
27 Jun 2016 - 28 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
SMYTH, BENJAMIN IAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6308
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6308
UBS AG
Type 1: dealing in securities
22 Nov 2018 - 27 Nov 2018
No
AG6308
UBS AG
Type 4: advising on securities
22 Nov 2018 - 27 Nov 2018
No
AG6308
UBS AG
Type 6: advising on corporate finance
22 Nov 2018 - 27 Nov 2018
No
AG6308
UBS AG
Type 1: dealing in securities
23 Feb 2018 - 27 Feb 2018
No
AG6308
UBS AG
Type 4: advising on securities
23 Feb 2018 - 27 Feb 2018
No
AG6308
UBS AG
Type 6: advising on corporate finance
23 Feb 2018 - 27 Feb 2018
No
AG6308
UBS AG
Type 1: dealing in securities
24 Nov 2017 - 28 Nov 2017
No
AG6308
UBS AG
Type 4: advising on securities
24 Nov 2017 - 28 Nov 2017
No
AG6308
UBS AG
Type 6: advising on corporate finance
24 Nov 2017 - 28 Nov 2017
No
AG6308
UBS AG
Type 1: dealing in securities
25 Nov 2016 - 29 Nov 2016
No
AG6308
UBS AG
Type 4: advising on securities
25 Nov 2016 - 29 Nov 2016
No
AG6308
UBS AG
Type 6: advising on corporate finance
25 Nov 2016 - 29 Nov 2016
No
AG6308
UBS AG
Type 1: dealing in securities
27 Jun 2016 - 28 Jun 2016
No
AG6308
UBS AG
Type 4: advising on securities
27 Jun 2016 - 28 Jun 2016
No
AG6308
UBS AG
Type 6: advising on corporate finance
27 Jun 2016 - 28 Jun 2016
No
AG6308
UBS AG
Type 1: dealing in securities
20 Jan 2016
No
AG6308
UBS AG
Type 4: advising on securities
20 Jan 2016
No
AG6308
UBS AG
Type 6: advising on corporate finance
20 Jan 2016
No
AG6308
UBS AG
Type 1: dealing in securities
27 May 2015 - 29 May 2015
No
AG6308
UBS AG
Type 4: advising on securities
27 May 2015 - 29 May 2015
No
AG6308
UBS AG
Type 6: advising on corporate finance
27 May 2015 - 29 May 2015
No
AG6308
UBS AG
Type 1: dealing in securities
29 Jan 2015
No
AG6308
UBS AG
Type 4: advising on securities
29 Jan 2015
No
AG6308
UBS AG
Type 6: advising on corporate finance
29 Jan 2015
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.