Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAU, YU YUNG
Chinese Name of Relevant Individual
邱瑜熔
HKMA Registration Number
AG8465
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
CLIENT ACCOUNT MANAGER
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
31 May 2024 - 30 Jun 2025
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
18 Feb 2023 - 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
18 Feb 2023 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2021 - 06 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2021 - 06 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2019 - 24 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2019 - 24 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2017 - 31 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2017 - 31 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2017 - 04 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2017 - 04 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2016 - 03 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2016 - 03 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jan 2016 - 24 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
YAU, YU YUNG
:
Chinese Name of Relevant Individual
邱瑜熔
:
HKMA Registration Number
AG8465
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
CLIENT ACCOUNT MANAGER
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)
AG8465
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AG8465
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AG8465
CREDIT SUISSE AG
Type 1: dealing in securities
18 Feb 2023 - 31 May 2024
No
AG8465
CREDIT SUISSE AG
Type 4: advising on securities
18 Feb 2023 - 31 May 2024
No
AG8465
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
28 Oct 2021 - 06 Aug 2022
No
AG8465
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
28 Oct 2021 - 06 Aug 2022
No
AG8465
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Apr 2019 - 24 Sep 2021
No
AG8465
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Apr 2019 - 24 Sep 2021
No
AG8465
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Dec 2017 - 31 Mar 2019
No
AG8465
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Dec 2017 - 31 Mar 2019
No
AG8465
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Jan 2017 - 04 Dec 2017
No
AG8465
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Jan 2017 - 04 Dec 2017
No
AG8465
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Sep 2016 - 03 Oct 2016
No
AG8465
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Sep 2016 - 03 Oct 2016
No
AG8465
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Jan 2016 - 24 Jun 2016
No
AG8465
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Aug 2015 - 24 Jun 2016
No
AG8465
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Aug 2015 - 24 Jun 2016
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.