Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KIM, CHUL HWAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG8292
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
23 Feb 2018 - 09 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
23 Feb 2018 - 09 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
23 Feb 2018 - 09 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
07 Aug 2017 - 10 Aug 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
07 Aug 2017 - 10 Aug 2017
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
07 Aug 2017 - 10 Aug 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
30 Jun 2017 - 04 Jul 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
30 Jun 2017 - 04 Jul 2017
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
30 Jun 2017 - 04 Jul 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 Feb 2017 - 22 Feb 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 Feb 2017 - 22 Feb 2017
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 Feb 2017 - 22 Feb 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
24 Jul 2015 - 29 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
24 Jul 2015 - 29 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
24 Jul 2015 - 29 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
KIM, CHUL HWAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8292
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8292
UBS AG
Type 1: dealing in securities
23 Feb 2018 - 09 Mar 2018
No
AG8292
UBS AG
Type 4: advising on securities
23 Feb 2018 - 09 Mar 2018
No
AG8292
UBS AG
Type 6: advising on corporate finance
23 Feb 2018 - 09 Mar 2018
No
AG8292
UBS AG
Type 1: dealing in securities
07 Aug 2017 - 10 Aug 2017
No
AG8292
UBS AG
Type 4: advising on securities
07 Aug 2017 - 10 Aug 2017
No
AG8292
UBS AG
Type 6: advising on corporate finance
07 Aug 2017 - 10 Aug 2017
No
AG8292
UBS AG
Type 1: dealing in securities
30 Jun 2017 - 04 Jul 2017
No
AG8292
UBS AG
Type 4: advising on securities
30 Jun 2017 - 04 Jul 2017
No
AG8292
UBS AG
Type 6: advising on corporate finance
30 Jun 2017 - 04 Jul 2017
No
AG8292
UBS AG
Type 1: dealing in securities
17 Feb 2017 - 22 Feb 2017
No
AG8292
UBS AG
Type 4: advising on securities
17 Feb 2017 - 22 Feb 2017
No
AG8292
UBS AG
Type 6: advising on corporate finance
17 Feb 2017 - 22 Feb 2017
No
AG8292
UBS AG
Type 1: dealing in securities
24 Jul 2015 - 29 Jul 2015
No
AG8292
UBS AG
Type 4: advising on securities
24 Jul 2015 - 29 Jul 2015
No
AG8292
UBS AG
Type 6: advising on corporate finance
24 Jul 2015 - 29 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.