Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NIU, YUSI
Chinese Name of Relevant Individual
牛雨丝
HKMA Registration Number
AJ3138
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
16 Sep 2023 - 12 Aug 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 Sep 2023 - 12 Aug 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
16 Sep 2023 - 12 Aug 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
NIU, YUSI
:
Chinese Name of Relevant Individual
牛雨丝
:
HKMA Registration Number
AJ3138
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3138
UBS AG
Type 1: dealing in securities
16 Sep 2023 - 12 Aug 2025
No
AJ3138
UBS AG
Type 4: advising on securities
16 Sep 2023 - 12 Aug 2025
No
AJ3138
UBS AG
Type 7: providing automated trading services
16 Sep 2023 - 12 Aug 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.