Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GAO, YIWEN
Chinese Name of Relevant Individual
高一文
HKMA Registration Number
AJ2944
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
25 Aug 2023 - 02 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
25 Aug 2023 - 02 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 Aug 2023 - 02 May 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
GAO, YIWEN
:
Chinese Name of Relevant Individual
高一文
:
HKMA Registration Number
AJ2944
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ2944
UBS AG
Type 1: dealing in securities
25 Aug 2023 - 02 May 2025
No
AJ2944
UBS AG
Type 4: advising on securities
25 Aug 2023 - 02 May 2025
No
AJ2944
UBS AG
Type 7: providing automated trading services
25 Aug 2023 - 02 May 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.