Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
GUO, XINYU
Chinese Name of Relevant Individual

郭鑫昱
HKMA Registration Number
AG6828
Other HKMA Registration Number(s)
AF9965
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
03 Jun 2013
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
03 Jun 2013
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
03 Jun 2013
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
GUO, XINYU
:
Chinese Name of Relevant Individual
郭鑫昱
:
HKMA Registration Number
AG6828
:
Other HKMA Registration Number(s)
AF9965
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Jun 2013
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
03 Jun 2013
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
03 Jun 2013
No
INV. BANKING TEAM LEADER