Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MORLEY, JAMES EDWARD
Chinese Name of Relevant Individual
HKMA Registration Number
AJ2344
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
13 Mar 2026 - 18 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2026 - 18 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2025 - 25 Sep 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
19 Sep 2025 - 25 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 May 2025 - 21 May 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
16 May 2025 - 21 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2024 - 25 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
20 Sep 2024 - 25 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2024 - 15 May 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
10 May 2024 - 15 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jan 2024 - 19 Jan 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
16 Jan 2024 - 19 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2023 - 08 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2023 - 08 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2023 - 09 Jun 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
MORLEY, JAMES EDWARD
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ2344
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ2344
UBS AG
Type 1: dealing in securities
13 Mar 2026 - 18 Mar 2026
No
AJ2344
UBS AG
Type 4: advising on securities
13 Mar 2026 - 18 Mar 2026
No
AJ2344
UBS AG
Type 1: dealing in securities
19 Sep 2025 - 25 Sep 2025
No
AJ2344
UBS AG
Type 4: advising on securities
19 Sep 2025 - 25 Sep 2025
No
AJ2344
UBS AG
Type 1: dealing in securities
16 May 2025 - 21 May 2025
No
AJ2344
UBS AG
Type 4: advising on securities
16 May 2025 - 21 May 2025
No
AJ2344
UBS AG
Type 1: dealing in securities
20 Sep 2024 - 25 Sep 2024
No
AJ2344
UBS AG
Type 4: advising on securities
20 Sep 2024 - 25 Sep 2024
No
AJ2344
UBS AG
Type 1: dealing in securities
10 May 2024 - 15 May 2024
No
AJ2344
UBS AG
Type 4: advising on securities
10 May 2024 - 15 May 2024
No
AJ2344
UBS AG
Type 1: dealing in securities
16 Jan 2024 - 19 Jan 2024
No
AJ2344
UBS AG
Type 4: advising on securities
16 Jan 2024 - 19 Jan 2024
No
AJ2344
UBS AG
Type 1: dealing in securities
05 Sep 2023 - 08 Sep 2023
No
AJ2344
UBS AG
Type 4: advising on securities
05 Sep 2023 - 08 Sep 2023
No
AJ2344
UBS AG
Type 1: dealing in securities
06 Jun 2023 - 09 Jun 2023
No
AJ2344
UBS AG
Type 4: advising on securities
06 Jun 2023 - 09 Jun 2023
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.