Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIN, SHIH YI
Chinese Name of Relevant Individual
林詩宜
HKMA Registration Number
AG8328
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2017 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Dec 2017 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2015 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
28 Jul 2015 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jul 2015 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
28 Jul 2015 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 9: asset management
Effective Period
28 Jul 2015 - 17 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LIN, SHIH YI
:
Chinese Name of Relevant Individual
林詩宜
:
HKMA Registration Number
AG8328
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
MANDATE SPECIALIST
UBS AG
Type 4: advising on securities
31 May 2024
No
MANDATE SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8328
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AG8328
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AG8328
CREDIT SUISSE AG
Type 1: dealing in securities
22 Dec 2017 - 31 May 2024
No
AG8328
CREDIT SUISSE AG
Type 4: advising on securities
22 Dec 2017 - 31 May 2024
No
AG8328
LGT BANK AG
Type 1: dealing in securities
28 Jul 2015 - 17 Nov 2017
No
AG8328
LGT BANK AG
Type 2: dealing in futures contracts
28 Jul 2015 - 17 Nov 2017
No
AG8328
LGT BANK AG
Type 4: advising on securities
28 Jul 2015 - 17 Nov 2017
No
AG8328
LGT BANK AG
Type 5: advising on futures contracts
28 Jul 2015 - 17 Nov 2017
No
AG8328
LGT BANK AG
Type 9: asset management
28 Jul 2015 - 17 Nov 2017
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.