Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CORVALAN, CAROLINA ANDREA TU MINH
Chinese Name of Relevant Individual
HKMA Registration Number
AI2795
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
19 Dec 2019 - 10 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2019 - 10 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2019 - 14 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
16 Sep 2019 - 14 Dec 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CORVALAN, CAROLINA ANDREA TU MINH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI2795
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2795
UBS AG
Type 1: dealing in securities
19 Dec 2019 - 10 Jan 2020
No
AI2795
UBS AG
Type 4: advising on securities
19 Dec 2019 - 10 Jan 2020
No
AI2795
UBS AG
Type 1: dealing in securities
16 Sep 2019 - 14 Dec 2019
No
AI2795
UBS AG
Type 4: advising on securities
16 Sep 2019 - 14 Dec 2019
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.