Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
LIU, YU-CHEN
Chinese Name of Relevant Individual

劉昱辰
HKMA Registration Number
AH9137
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
31 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LIU, YU-CHEN
:
Chinese Name of Relevant Individual
劉昱辰
:
HKMA Registration Number
AH9137
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 Aug 2018
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
31 Aug 2018
No
CLIENT ADVISOR WM