Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAO, YUCHEN
Chinese Name of Relevant Individual
姚雨晨
HKMA Registration Number
AH5212
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
23 Oct 2019 - 23 Nov 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
23 Oct 2019 - 23 Nov 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
23 Oct 2019 - 23 Nov 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
21 Aug 2018 - 30 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
21 Aug 2018 - 30 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
21 Aug 2018 - 30 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
18 Jul 2017 - 24 May 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
18 Jul 2017 - 24 May 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
18 Jul 2017 - 24 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
YAO, YUCHEN
:
Chinese Name of Relevant Individual
姚雨晨
:
HKMA Registration Number
AH5212
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5212
UBS AG
Type 1: dealing in securities
23 Oct 2019 - 23 Nov 2019
No
AH5212
UBS AG
Type 4: advising on securities
23 Oct 2019 - 23 Nov 2019
No
AH5212
UBS AG
Type 6: advising on corporate finance
23 Oct 2019 - 23 Nov 2019
No
AH5212
UBS AG
Type 1: dealing in securities
21 Aug 2018 - 30 Aug 2018
No
AH5212
UBS AG
Type 4: advising on securities
21 Aug 2018 - 30 Aug 2018
No
AH5212
UBS AG
Type 6: advising on corporate finance
21 Aug 2018 - 30 Aug 2018
No
AH5212
UBS AG
Type 1: dealing in securities
18 Jul 2017 - 24 May 2018
No
AH5212
UBS AG
Type 4: advising on securities
18 Jul 2017 - 24 May 2018
No
AH5212
UBS AG
Type 6: advising on corporate finance
18 Jul 2017 - 24 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.