Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CARNEGIE-BROWN, IAN DONALD
Chinese Name of Relevant Individual
HKMA Registration Number
AH2107
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
20 Sep 2019 - 15 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2019 - 15 Feb 2021
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
20 Sep 2019 - 15 Feb 2021
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 Mar 2019 - 15 Mar 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
13 Mar 2019 - 15 Mar 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
13 Mar 2019 - 15 Mar 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
03 Aug 2018 - 08 Aug 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
03 Aug 2018 - 08 Aug 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
03 Aug 2018 - 08 Aug 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
03 Jun 2017 - 07 Jun 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
03 Jun 2017 - 07 Jun 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
03 Jun 2017 - 07 Jun 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
02 May 2017 - 05 May 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
02 May 2017 - 05 May 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
02 May 2017 - 05 May 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
CARNEGIE-BROWN, IAN DONALD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH2107
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2107
UBS AG
Type 1: dealing in securities
20 Sep 2019 - 15 Feb 2021
No
AH2107
UBS AG
Type 4: advising on securities
20 Sep 2019 - 15 Feb 2021
No
AH2107
UBS AG
Type 6: advising on corporate finance
20 Sep 2019 - 15 Feb 2021
No
AH2107
UBS AG
Type 1: dealing in securities
13 Mar 2019 - 15 Mar 2019
No
AH2107
UBS AG
Type 4: advising on securities
13 Mar 2019 - 15 Mar 2019
No
AH2107
UBS AG
Type 6: advising on corporate finance
13 Mar 2019 - 15 Mar 2019
No
AH2107
UBS AG
Type 1: dealing in securities
03 Aug 2018 - 08 Aug 2018
No
AH2107
UBS AG
Type 4: advising on securities
03 Aug 2018 - 08 Aug 2018
No
AH2107
UBS AG
Type 6: advising on corporate finance
03 Aug 2018 - 08 Aug 2018
No
AH2107
UBS AG
Type 1: dealing in securities
03 Jun 2017 - 07 Jun 2017
No
AH2107
UBS AG
Type 4: advising on securities
03 Jun 2017 - 07 Jun 2017
No
AH2107
UBS AG
Type 6: advising on corporate finance
03 Jun 2017 - 07 Jun 2017
No
AH2107
UBS AG
Type 1: dealing in securities
02 May 2017 - 05 May 2017
No
AH2107
UBS AG
Type 4: advising on securities
02 May 2017 - 05 May 2017
No
AH2107
UBS AG
Type 6: advising on corporate finance
02 May 2017 - 05 May 2017
No
AH2107
UBS AG
Type 1: dealing in securities
15 Aug 2016 - 19 Aug 2016
No
AH2107
UBS AG
Type 4: advising on securities
15 Aug 2016 - 19 Aug 2016
No
AH2107
UBS AG
Type 6: advising on corporate finance
15 Aug 2016 - 19 Aug 2016
No
AH2107
UBS AG
Type 1: dealing in securities
02 Aug 2016 - 06 Aug 2016
No
AH2107
UBS AG
Type 4: advising on securities
02 Aug 2016 - 06 Aug 2016
No
AH2107
UBS AG
Type 6: advising on corporate finance
02 Aug 2016 - 06 Aug 2016
No
AH2107
UBS AG
Type 1: dealing in securities
21 Jul 2016 - 24 Jul 2016
No
AH2107
UBS AG
Type 4: advising on securities
21 Jul 2016 - 24 Jul 2016
No
AH2107
UBS AG
Type 6: advising on corporate finance
21 Jul 2016 - 24 Jul 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.