Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KHAN, RUBAINA
Chinese Name of Relevant Individual
HKMA Registration Number
AH1366
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 Oct 2019 - 25 Oct 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 Oct 2019 - 25 Oct 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 Oct 2019 - 25 Oct 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
30 Aug 2019 - 06 Sep 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
30 Aug 2019 - 06 Sep 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
30 Aug 2019 - 06 Sep 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
01 Apr 2019 - 04 Apr 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
01 Apr 2019 - 04 Apr 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
01 Apr 2019 - 04 Apr 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
13 Jun 2018 - 15 Jun 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
13 Jun 2018 - 15 Jun 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
13 Jun 2018 - 15 Jun 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
27 Apr 2016 - 30 Apr 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
27 Apr 2016 - 30 Apr 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
27 Apr 2016 - 30 Apr 2016
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
KHAN, RUBAINA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1366
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1366
UBS AG
Type 1: dealing in securities
22 Oct 2019 - 25 Oct 2019
No
AH1366
UBS AG
Type 4: advising on securities
22 Oct 2019 - 25 Oct 2019
No
AH1366
UBS AG
Type 6: advising on corporate finance
22 Oct 2019 - 25 Oct 2019
No
AH1366
UBS AG
Type 1: dealing in securities
30 Aug 2019 - 06 Sep 2019
No
AH1366
UBS AG
Type 4: advising on securities
30 Aug 2019 - 06 Sep 2019
No
AH1366
UBS AG
Type 6: advising on corporate finance
30 Aug 2019 - 06 Sep 2019
No
AH1366
UBS AG
Type 1: dealing in securities
01 Apr 2019 - 04 Apr 2019
No
AH1366
UBS AG
Type 4: advising on securities
01 Apr 2019 - 04 Apr 2019
No
AH1366
UBS AG
Type 6: advising on corporate finance
01 Apr 2019 - 04 Apr 2019
No
AH1366
UBS AG
Type 1: dealing in securities
13 Jun 2018 - 15 Jun 2018
No
AH1366
UBS AG
Type 4: advising on securities
13 Jun 2018 - 15 Jun 2018
No
AH1366
UBS AG
Type 6: advising on corporate finance
13 Jun 2018 - 15 Jun 2018
No
AH1366
UBS AG
Type 1: dealing in securities
27 Apr 2016 - 30 Apr 2016
No
AH1366
UBS AG
Type 4: advising on securities
27 Apr 2016 - 30 Apr 2016
No
AH1366
UBS AG
Type 6: advising on corporate finance
27 Apr 2016 - 30 Apr 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.