Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, PUI YAN
Chinese Name of Relevant Individual
劉佩欣
HKMA Registration Number
AH1521
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
06 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Dec 2025
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
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 06 Dec 2025
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 06 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2022 - 16 Nov 2025
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
28 Feb 2022 - 16 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Feb 2022 - 16 Nov 2025
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 Sep 2020 - 31 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Jun 2017 - 23 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2016 - 23 Aug 2020
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
12 May 2016 - 23 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
12 May 2016 - 04 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
LAU, PUI YAN
:
Chinese Name of Relevant Individual
劉佩欣
:
HKMA Registration Number
AH1521
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Dec 2025
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
06 Dec 2025
No
CLIENT ADVISOR WM
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)
AH1521
UBS AG
Type 1: dealing in securities
Since 06 Dec 2025
No
AH1521
UBS AG
Type 4: advising on securities
Since 06 Dec 2025
No
AH1521
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Feb 2022 - 16 Nov 2025
No
AH1521
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Feb 2022 - 16 Nov 2025
No
AH1521
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Feb 2022 - 16 Nov 2025
No
AH1521
UBS AG
Type 1: dealing in securities
30 Sep 2020 - 31 Dec 2021
No
AH1521
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Jun 2017 - 23 Aug 2020
No
AH1521
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 May 2016 - 23 Aug 2020
No
AH1521
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 May 2016 - 23 Aug 2020
No
AH1521
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 May 2016 - 04 Oct 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.