Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YE, TIAN
Chinese Name of Relevant Individual
葉天
HKMA Registration Number
AG8226
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
17 Jul 2015 - 30 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
17 Jul 2015 - 30 Mar 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
17 Jul 2015 - 30 Mar 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
YE, TIAN
:
Chinese Name of Relevant Individual
葉天
:
HKMA Registration Number
AG8226
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8226
UBS AG
Type 1: dealing in securities
17 Jul 2015 - 30 Mar 2018
No
AG8226
UBS AG
Type 4: advising on securities
17 Jul 2015 - 30 Mar 2018
No
AG8226
UBS AG
Type 6: advising on corporate finance
17 Jul 2015 - 30 Mar 2018
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.