Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, KA CHUN
Chinese Name of Relevant Individual
林家駿
HKMA Registration Number
AI2941
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
03 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
PORTFOLIO MANAGER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
PORTFOLIO MANAGER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
First date of engagement
03 Oct 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
PORTFOLIO MANAGER
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
04 Dec 2020
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
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 18 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 18 Oct 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
Since 04 Dec 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2019 - 17 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
03 Oct 2019 - 17 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
03 Oct 2019 - 03 Dec 2020
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
LAM, KA CHUN
:
Chinese Name of Relevant Individual
林家駿
:
HKMA Registration Number
AI2941
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Oct 2019
Yes
PORTFOLIO MANAGER
UBS AG
Type 4: advising on securities
03 Oct 2019
Yes
PORTFOLIO MANAGER
UBS AG
Type 9: asset management
03 Oct 2019
Yes
PORTFOLIO MANAGER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
04 Dec 2020
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2941
UBS AG
Type 1: dealing in securities
Since 18 Oct 2021
Yes
AI2941
UBS AG
Type 4: advising on securities
Since 18 Oct 2021
Yes
AI2941
UBS AG
Type 9: asset management
Since 04 Dec 2020
Yes
AI2941
UBS AG
Type 1: dealing in securities
03 Oct 2019 - 17 Oct 2021
No
AI2941
UBS AG
Type 4: advising on securities
03 Oct 2019 - 17 Oct 2021
No
AI2941
UBS AG
Type 9: asset management
03 Oct 2019 - 03 Dec 2020
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.