Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, JOVY
Chinese Name of Relevant Individual
莫昕霖
HKMA Registration Number
AJ0140
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
31 May 2024 - 20 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 20 Sep 2024
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
16 Aug 2022 - 31 May 2024
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
16 Aug 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
MOK, JOVY
:
Chinese Name of Relevant Individual
莫昕霖
:
HKMA Registration Number
AJ0140
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ0140
UBS AG
Type 1: dealing in securities
31 May 2024 - 20 Sep 2024
No
AJ0140
UBS AG
Type 4: advising on securities
31 May 2024 - 20 Sep 2024
No
AJ0140
CREDIT SUISSE AG
Type 1: dealing in securities
16 Aug 2022 - 31 May 2024
No
AJ0140
CREDIT SUISSE AG
Type 4: advising on securities
16 Aug 2022 - 31 May 2024
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.