Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LINGARD, THOMAS ASHTON
Chinese Name of Relevant Individual
HKMA Registration Number
AG8273
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 - 12 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Mar 2016 - 12 Mar 2020
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
10 Mar 2016 - 12 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jul 2015 - 24 Jul 2015
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 Jul 2015 - 24 Jul 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
22 Jul 2015 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LINGARD, THOMAS ASHTON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8273
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8273
UBS AG
Type 1: dealing in securities
10 Mar 2016 - 12 Mar 2020
No
AG8273
UBS AG
Type 4: advising on securities
10 Mar 2016 - 12 Mar 2020
No
AG8273
UBS AG
Type 6: advising on corporate finance
10 Mar 2016 - 12 Mar 2020
No
AG8273
UBS AG
Type 1: dealing in securities
22 Jul 2015 - 24 Jul 2015
No
AG8273
UBS AG
Type 4: advising on securities
22 Jul 2015 - 24 Jul 2015
No
AG8273
UBS AG
Type 6: advising on corporate finance
22 Jul 2015 - 24 Jul 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.