Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FARRIS, BRYAN DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AH2792
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
24 Mar 2017 - 01 Apr 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
24 Mar 2017 - 01 Apr 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
24 Mar 2017 - 01 Apr 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
28 Sep 2016 - 30 Sep 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
28 Sep 2016 - 30 Sep 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
28 Sep 2016 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
FARRIS, BRYAN DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH2792
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2792
UBS AG
Type 1: dealing in securities
24 Mar 2017 - 01 Apr 2017
No
AH2792
UBS AG
Type 4: advising on securities
24 Mar 2017 - 01 Apr 2017
No
AH2792
UBS AG
Type 6: advising on corporate finance
24 Mar 2017 - 01 Apr 2017
No
AH2792
UBS AG
Type 1: dealing in securities
28 Sep 2016 - 30 Sep 2016
No
AH2792
UBS AG
Type 4: advising on securities
28 Sep 2016 - 30 Sep 2016
No
AH2792
UBS AG
Type 6: advising on corporate finance
28 Sep 2016 - 30 Sep 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.