Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LIU, CHOR KIU JONATHAN
Chinese Name of Relevant Individual

廖楚翹
HKMA Registration Number
AJ0200
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
20 Aug 2022
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
20 Aug 2022
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
20 Aug 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LIU, CHOR KIU JONATHAN
:
Chinese Name of Relevant Individual
廖楚翹
:
HKMA Registration Number
AJ0200
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
20 Aug 2022
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
20 Aug 2022
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
20 Aug 2022
No
INVESTMENT BANKER