Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XU, NING
Chinese Name of Relevant Individual
许宁
HKMA Registration Number
AH8142
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
07 Sep 2018 - 06 Dec 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
07 Sep 2018 - 06 Dec 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
07 Sep 2018 - 06 Dec 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
11 Jun 2018 - 14 Jun 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
11 Jun 2018 - 14 Jun 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
11 Jun 2018 - 14 Jun 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
XU, NING
:
Chinese Name of Relevant Individual
许宁
:
HKMA Registration Number
AH8142
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8142
UBS AG
Type 1: dealing in securities
07 Sep 2018 - 06 Dec 2019
No
AH8142
UBS AG
Type 4: advising on securities
07 Sep 2018 - 06 Dec 2019
No
AH8142
UBS AG
Type 6: advising on corporate finance
07 Sep 2018 - 06 Dec 2019
No
AH8142
UBS AG
Type 1: dealing in securities
11 Jun 2018 - 14 Jun 2018
No
AH8142
UBS AG
Type 4: advising on securities
11 Jun 2018 - 14 Jun 2018
No
AH8142
UBS AG
Type 6: advising on corporate finance
11 Jun 2018 - 14 Jun 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.