Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YE, GEN
Chinese Name of Relevant Individual
叶根
HKMA Registration Number
AH1374
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
16 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
16 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
First date of engagement
16 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
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 16 May 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
Since 16 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 16 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2016 - 04 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Apr 2016 - 04 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2016 - 04 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Apr 2016 - 04 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Apr 2016 - 25 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
27 Apr 2016 - 25 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
YE, GEN
:
Chinese Name of Relevant Individual
叶根
:
HKMA Registration Number
AH1374
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
16 May 2018
No
SALESPERSON
UBS AG
Type 4: advising on securities
16 May 2018
No
SALESPERSON
UBS AG
Type 7: providing automated trading services
16 May 2018
No
SALESPERSON
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)
AH1374
UBS AG
Type 1: dealing in securities
Since 16 May 2018
No
AH1374
UBS AG
Type 4: advising on securities
Since 16 May 2018
No
AH1374
UBS AG
Type 7: providing automated trading services
Since 16 May 2018
No
AH1374
CITIBANK, N.A.
Type 1: dealing in securities
30 Apr 2016 - 04 Apr 2018
No
AH1374
CITIBANK, N.A.
Type 4: advising on securities
30 Apr 2016 - 04 Apr 2018
No
AH1374
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Apr 2016 - 04 Apr 2018
No
AH1374
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
30 Apr 2016 - 04 Apr 2018
No
AH1374
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
27 Apr 2016
No
AH1374
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
27 Apr 2016
No
AH1374
CITIBANK, N.A.
Type 1: dealing in securities
27 Apr 2016 - 25 Apr 2016
No
AH1374
CITIBANK, N.A.
Type 4: advising on securities
27 Apr 2016 - 25 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.