Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUO, HAN
Chinese Name of Relevant Individual
HKMA Registration Number
AH4196
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
26 Aug 2019 - 27 Aug 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
26 Aug 2019 - 27 Aug 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
26 Aug 2019 - 27 Aug 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
25 Mar 2019 - 26 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
25 Mar 2019 - 26 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
25 Mar 2019 - 26 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
24 Aug 2018 - 28 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
24 Aug 2018 - 28 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
24 Aug 2018 - 28 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
17 Mar 2017 - 21 Mar 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
17 Mar 2017 - 21 Mar 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
17 Mar 2017 - 21 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
GUO, HAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4196
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4196
UBS AG
Type 1: dealing in securities
26 Aug 2019 - 27 Aug 2019
No
AH4196
UBS AG
Type 4: advising on securities
26 Aug 2019 - 27 Aug 2019
No
AH4196
UBS AG
Type 6: advising on corporate finance
26 Aug 2019 - 27 Aug 2019
No
AH4196
UBS AG
Type 1: dealing in securities
25 Mar 2019 - 26 Mar 2019
No
AH4196
UBS AG
Type 4: advising on securities
25 Mar 2019 - 26 Mar 2019
No
AH4196
UBS AG
Type 6: advising on corporate finance
25 Mar 2019 - 26 Mar 2019
No
AH4196
UBS AG
Type 1: dealing in securities
24 Aug 2018 - 28 Aug 2018
No
AH4196
UBS AG
Type 4: advising on securities
24 Aug 2018 - 28 Aug 2018
No
AH4196
UBS AG
Type 6: advising on corporate finance
24 Aug 2018 - 28 Aug 2018
No
AH4196
UBS AG
Type 1: dealing in securities
17 Mar 2017 - 21 Mar 2017
No
AH4196
UBS AG
Type 4: advising on securities
17 Mar 2017 - 21 Mar 2017
No
AH4196
UBS AG
Type 6: advising on corporate finance
17 Mar 2017 - 21 Mar 2017
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.