Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
JI, YUAN
Chinese Name of Relevant Individual

吉源
HKMA Registration Number
AI6615
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
21 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
21 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
21 May 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
JI, YUAN
:
Chinese Name of Relevant Individual
吉源
:
HKMA Registration Number
AI6615
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
21 May 2021
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
21 May 2021
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
21 May 2021
No
INVESTMENT BANKER