Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, WENCHENG
Chinese Name of Relevant Individual
刘文成
HKMA Registration Number
AG6976
Other HKMA Registration Number(s)
AE0990
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
10 Mar 2016 - 29 Jun 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 Mar 2015 - 29 Jun 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 Mar 2015 - 29 Jun 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
04 Oct 2008 - 19 Mar 2015
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 Oct 2008 - 19 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LIU, WENCHENG
:
Chinese Name of Relevant Individual
刘文成
:
HKMA Registration Number
AG6976
:
Other HKMA Registration Number(s)
AE0990
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6976
UBS AG
Type 1: dealing in securities
10 Mar 2016 - 29 Jun 2023
No
AG6976
UBS AG
Type 4: advising on securities
20 Mar 2015 - 29 Jun 2023
No
AG6976
UBS AG
Type 6: advising on corporate finance
20 Mar 2015 - 29 Jun 2023
No
AE0990
UBS AG
Type 4: advising on securities
04 Oct 2008 - 19 Mar 2015
No
AE0990
UBS AG
Type 6: advising on corporate finance
04 Oct 2008 - 19 Mar 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.