Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HONG, YUJIE
Chinese Name of Relevant Individual
洪宇杰
HKMA Registration Number
AI8122
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
09 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
09 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
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 09 Oct 2025
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 09 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 09 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2021 - 26 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
05 Nov 2021 - 26 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
05 Nov 2021 - 26 Jun 2025
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
HONG, YUJIE
:
Chinese Name of Relevant Individual
洪宇杰
:
HKMA Registration Number
AI8122
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
09 Oct 2025
No
INV. BANKING ASSOCIATE
UBS AG
Type 4: advising on securities
09 Oct 2025
No
INV. BANKING ASSOCIATE
UBS AG
Type 6: advising on corporate finance
09 Oct 2025
No
INV. BANKING ASSOCIATE
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)
AI8122
UBS AG
Type 1: dealing in securities
Since 09 Oct 2025
No
AI8122
UBS AG
Type 4: advising on securities
Since 09 Oct 2025
No
AI8122
UBS AG
Type 6: advising on corporate finance
Since 09 Oct 2025
No
AI8122
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Nov 2021 - 26 Jun 2025
No
AI8122
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Nov 2021 - 26 Jun 2025
No
AI8122
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 6: advising on corporate finance
05 Nov 2021 - 26 Jun 2025
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.