Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LIU, CONG
Chinese Name of Relevant Individual

刘淙
HKMA Registration Number
AI9392
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
18 May 2022
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
18 May 2022
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
18 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ASSOCIATE
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LIU, CONG
:
Chinese Name of Relevant Individual
刘淙
:
HKMA Registration Number
AI9392
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
18 May 2022
No
INV. BANKING ASSOCIATE
UBS AG
Type 4: advising on securities
18 May 2022
No
INV. BANKING ASSOCIATE
UBS AG
Type 6: advising on corporate finance
18 May 2022
No
INV. BANKING ASSOCIATE