Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

RILEY, TIMOTHY JOHN

Chinese Name of Relevant Individual

HKMA Registration Number

AG7084

Current Registration

Not Applicable

Business Address

Conditions

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

13 Jun 2019 - 18 Jun 2019

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 Jun 2019 - 18 Jun 2019

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 Jun 2018 - 22 Jun 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 Jun 2018 - 22 Jun 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

09 Mar 2018 - 14 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

09 Mar 2018 - 14 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

21 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

21 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

17 Jun 2017 - 20 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

17 Jun 2017 - 20 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

27 Mar 2015 - 19 Feb 2017

Is an Executive Officer? (Yes / No)

No

Records: 1-11 of 11

Public Disciplinary Actions

:

Name of Relevant Individual

RILEY, TIMOTHY JOHN

:

Chinese Name of Relevant Individual

:

HKMA Registration Number

AG7084

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AG7084

UBS AG

Type 1: dealing in securities

13 Jun 2019 - 18 Jun 2019

No

AG7084

UBS AG

Type 4: advising on securities

13 Jun 2019 - 18 Jun 2019

No

AG7084

UBS AG

Type 1: dealing in securities

19 Jun 2018 - 22 Jun 2018

No

AG7084

UBS AG

Type 4: advising on securities

19 Jun 2018 - 22 Jun 2018

No

AG7084

UBS AG

Type 1: dealing in securities

09 Mar 2018 - 14 Mar 2018

No

AG7084

UBS AG

Type 4: advising on securities

09 Mar 2018 - 14 Mar 2018

No

AG7084

UBS AG

Type 1: dealing in securities

21 Nov 2017 - 28 Nov 2017

No

AG7084

UBS AG

Type 4: advising on securities

21 Nov 2017 - 28 Nov 2017

No

AG7084

UBS AG

Type 1: dealing in securities

17 Jun 2017 - 20 Jun 2017

No

AG7084

UBS AG

Type 4: advising on securities

17 Jun 2017 - 20 Jun 2017

No

AG7084

UBS AG

Type 1: dealing in securities

27 Mar 2015 - 19 Feb 2017

No