Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GE, YANWEI
Chinese Name of Relevant Individual
葛嚴蔚
HKMA Registration Number
AH4102
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
14 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
14 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
14 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
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 14 May 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
Since 14 May 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
Since 14 May 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
05 Jul 2018 - 21 May 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
05 Jul 2018 - 21 May 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
05 Jul 2018 - 21 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2017 - 18 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2017 - 18 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
06 Mar 2017 - 18 May 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
GE, YANWEI
:
Chinese Name of Relevant Individual
葛嚴蔚
:
HKMA Registration Number
AH4102
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
14 May 2022
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
14 May 2022
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
14 May 2022
No
INVESTMENT BANKER
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)
AH4102
UBS AG
Type 1: dealing in securities
Since 14 May 2022
No
AH4102
UBS AG
Type 4: advising on securities
Since 14 May 2022
No
AH4102
UBS AG
Type 6: advising on corporate finance
Since 14 May 2022
No
AH4102
UBS AG
Type 1: dealing in securities
05 Jul 2018 - 21 May 2021
No
AH4102
UBS AG
Type 4: advising on securities
05 Jul 2018 - 21 May 2021
No
AH4102
UBS AG
Type 6: advising on corporate finance
05 Jul 2018 - 21 May 2021
No
AH4102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Mar 2017 - 18 May 2018
No
AH4102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Mar 2017 - 18 May 2018
No
AH4102
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
06 Mar 2017 - 18 May 2018
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.