Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, ANDY YING YU
Chinese Name of Relevant Individual
郭英瑜
HKMA Registration Number
AH5157
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
22 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
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 22 Jan 2024
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 22 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Sep 2018 - 21 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Sep 2018 - 21 Jan 2024
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 Jul 2017 - 17 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
12 Jul 2017 - 17 Aug 2018
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
KWOK, ANDY YING YU
:
Chinese Name of Relevant Individual
郭英瑜
:
HKMA Registration Number
AH5157
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
22 Jan 2024
No
SALESPERSON
UBS AG
Type 4: advising on securities
22 Jan 2024
No
SALESPERSON
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)
AH5157
UBS AG
Type 1: dealing in securities
Since 22 Jan 2024
No
AH5157
UBS AG
Type 4: advising on securities
Since 22 Jan 2024
No
AH5157
CREDIT SUISSE AG
Type 1: dealing in securities
29 Sep 2018 - 21 Jan 2024
No
AH5157
CREDIT SUISSE AG
Type 4: advising on securities
29 Sep 2018 - 21 Jan 2024
No
AH5157
UBS AG
Type 1: dealing in securities
12 Jul 2017 - 17 Aug 2018
No
AH5157
UBS AG
Type 4: advising on securities
12 Jul 2017 - 17 Aug 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.