Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JOHN, JOBY
Chinese Name of Relevant Individual
HKMA Registration Number
AH2907
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
13 Mar 2023 - 17 Mar 2023
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 2023 - 17 Mar 2023
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 Nov 2018 - 23 Nov 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
19 Nov 2018 - 23 Nov 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
12 Mar 2018 - 17 Mar 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
12 Mar 2018 - 17 Mar 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
21 Nov 2017 - 22 Nov 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
21 Nov 2017 - 22 Nov 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
11 Oct 2016 - 14 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
11 Oct 2016 - 14 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
JOHN, JOBY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH2907
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2907
UBS AG
Type 1: dealing in securities
13 Mar 2023 - 17 Mar 2023
No
AH2907
UBS AG
Type 4: advising on securities
13 Mar 2023 - 17 Mar 2023
No
AH2907
UBS AG
Type 1: dealing in securities
19 Nov 2018 - 23 Nov 2018
No
AH2907
UBS AG
Type 4: advising on securities
19 Nov 2018 - 23 Nov 2018
No
AH2907
UBS AG
Type 1: dealing in securities
12 Mar 2018 - 17 Mar 2018
No
AH2907
UBS AG
Type 4: advising on securities
12 Mar 2018 - 17 Mar 2018
No
AH2907
UBS AG
Type 1: dealing in securities
21 Nov 2017 - 22 Nov 2017
No
AH2907
UBS AG
Type 4: advising on securities
21 Nov 2017 - 22 Nov 2017
No
AH2907
UBS AG
Type 1: dealing in securities
11 Oct 2016 - 14 Oct 2016
No
AH2907
UBS AG
Type 4: advising on securities
11 Oct 2016 - 14 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.