Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIANG, YUAN
Chinese Name of Relevant Individual
梁苑
HKMA Registration Number
AI4933
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
15 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
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
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
Since 15 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2021 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2021 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2020 - 13 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2020 - 13 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2020 - 13 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2020 - 13 Aug 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LIANG, YUAN
:
Chinese Name of Relevant Individual
梁苑
:
HKMA Registration Number
AI4933
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
15 Nov 2022
No
CLIENT ADVISOR WM GFIW
UBS AG
Type 4: advising on securities
15 Nov 2022
No
CLIENT ADVISOR WM GFIW
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4933
UBS AG
Type 1: dealing in securities
Since 15 Nov 2022
No
AI4933
UBS AG
Type 4: advising on securities
Since 15 Nov 2022
No
AI4933
CREDIT SUISSE AG
Type 1: dealing in securities
06 Nov 2021 - 29 Jul 2022
No
AI4933
CREDIT SUISSE AG
Type 4: advising on securities
06 Nov 2021 - 29 Jul 2022
No
AI4933
CITIBANK, N.A.
Type 1: dealing in securities
25 Aug 2020 - 13 Aug 2021
No
AI4933
CITIBANK, N.A.
Type 4: advising on securities
25 Aug 2020 - 13 Aug 2021
No
AI4933
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
25 Aug 2020 - 13 Aug 2021
No
AI4933
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
25 Aug 2020 - 13 Aug 2021
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.