Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YUAN, MENGTING
Chinese Name of Relevant Individual
元梦婷
HKMA Registration Number
AI6995
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
12 Sep 2025 - 18 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Feb 2022 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2021 - 30 Sep 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
YUAN, MENGTING
:
Chinese Name of Relevant Individual
元梦婷
:
HKMA Registration Number
AI6995
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6995
UBS AG
Type 1: dealing in securities
12 Sep 2025 - 18 Sep 2025
No
AI6995
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 4: advising on securities
07 Feb 2022 - 30 Sep 2022
No
AI6995
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
06 Jul 2021 - 30 Sep 2022
No
AI6995
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
06 Jul 2021 - 30 Sep 2022
No
AI6995
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
06 Jul 2021 - 30 Sep 2022
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.