Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAN, ADRIEN
Chinese Name of Relevant Individual
HKMA Registration Number
AG9769
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
22 Nov 2019 - 27 Nov 2019
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 Nov 2019 - 27 Nov 2019
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 Nov 2019 - 27 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2017 - 21 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
06 Feb 2017 - 21 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
06 Feb 2017 - 21 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
25 Nov 2016 - 30 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2016 - 30 Nov 2016
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
25 Nov 2016 - 30 Nov 2016
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 Nov 2015 - 21 Nov 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
17 Nov 2015 - 21 Nov 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
17 Nov 2015 - 21 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LAN, ADRIEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9769
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9769
UBS AG
Type 1: dealing in securities
22 Nov 2019 - 27 Nov 2019
No
AG9769
UBS AG
Type 4: advising on securities
22 Nov 2019 - 27 Nov 2019
No
AG9769
UBS AG
Type 6: advising on corporate finance
22 Nov 2019 - 27 Nov 2019
No
AG9769
UBS AG
Type 1: dealing in securities
06 Feb 2017 - 21 Feb 2017
No
AG9769
UBS AG
Type 4: advising on securities
06 Feb 2017 - 21 Feb 2017
No
AG9769
UBS AG
Type 6: advising on corporate finance
06 Feb 2017 - 21 Feb 2017
No
AG9769
UBS AG
Type 1: dealing in securities
25 Nov 2016 - 30 Nov 2016
No
AG9769
UBS AG
Type 4: advising on securities
25 Nov 2016 - 30 Nov 2016
No
AG9769
UBS AG
Type 6: advising on corporate finance
25 Nov 2016 - 30 Nov 2016
No
AG9769
UBS AG
Type 1: dealing in securities
17 Nov 2015 - 21 Nov 2015
No
AG9769
UBS AG
Type 4: advising on securities
17 Nov 2015 - 21 Nov 2015
No
AG9769
UBS AG
Type 6: advising on corporate finance
17 Nov 2015 - 21 Nov 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.