Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAP, JANICE MEI ERN
Chinese Name of Relevant Individual
HKMA Registration Number
AH1474
Other HKMA Registration Number(s)
AF3063
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
05 Nov 2016 - 14 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2016 - 14 Feb 2022
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
05 Nov 2016 - 14 Feb 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2016 - 28 Oct 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
24 Oct 2016 - 28 Oct 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
24 Oct 2016 - 28 Oct 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
12 Oct 2016 - 15 Oct 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
12 Oct 2016 - 15 Oct 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
12 Oct 2016 - 15 Oct 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
19 Sep 2016 - 01 Oct 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
19 Sep 2016 - 01 Oct 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
19 Sep 2016 - 01 Oct 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
30 Jun 2016 - 08 Jul 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
30 Jun 2016 - 08 Jul 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
30 Jun 2016 - 08 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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
YAP, JANICE MEI ERN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1474
:
Other HKMA Registration Number(s)
AF3063
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1474
UBS AG
Type 1: dealing in securities
05 Nov 2016 - 14 Feb 2022
No
AH1474
UBS AG
Type 4: advising on securities
05 Nov 2016 - 14 Feb 2022
No
AH1474
UBS AG
Type 6: advising on corporate finance
05 Nov 2016 - 14 Feb 2022
No
AH1474
UBS AG
Type 1: dealing in securities
24 Oct 2016 - 28 Oct 2016
No
AH1474
UBS AG
Type 4: advising on securities
24 Oct 2016 - 28 Oct 2016
No
AH1474
UBS AG
Type 6: advising on corporate finance
24 Oct 2016 - 28 Oct 2016
No
AH1474
UBS AG
Type 1: dealing in securities
12 Oct 2016 - 15 Oct 2016
No
AH1474
UBS AG
Type 4: advising on securities
12 Oct 2016 - 15 Oct 2016
No
AH1474
UBS AG
Type 6: advising on corporate finance
12 Oct 2016 - 15 Oct 2016
No
AH1474
UBS AG
Type 1: dealing in securities
19 Sep 2016 - 01 Oct 2016
No
AH1474
UBS AG
Type 4: advising on securities
19 Sep 2016 - 01 Oct 2016
No
AH1474
UBS AG
Type 6: advising on corporate finance
19 Sep 2016 - 01 Oct 2016
No
AH1474
UBS AG
Type 1: dealing in securities
30 Jun 2016 - 08 Jul 2016
No
AH1474
UBS AG
Type 4: advising on securities
30 Jun 2016 - 08 Jul 2016
No
AH1474
UBS AG
Type 6: advising on corporate finance
30 Jun 2016 - 08 Jul 2016
No
AH1474
UBS AG
Type 1: dealing in securities
09 May 2016 - 13 May 2016
No
AH1474
UBS AG
Type 4: advising on securities
09 May 2016 - 13 May 2016
No
AH1474
UBS AG
Type 6: advising on corporate finance
09 May 2016 - 13 May 2016
No
AF3063
UBS AG
Type 1: dealing in securities
23 Sep 2011 - 03 Mar 2016
No
AF3063
UBS AG
Type 4: advising on securities
23 Sep 2011 - 03 Mar 2016
No
AF3063
UBS AG
Type 6: advising on corporate finance
23 Sep 2011 - 03 Mar 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.