Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CLEMENTS, HOLLY JOANNA GRIFFITHS
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5573
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
22 May 2026 - 27 May 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
22 May 2026 - 27 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
22 May 2026 - 27 May 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
14 Apr 2026 - 23 Apr 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
14 Apr 2026 - 23 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Apr 2026 - 23 Apr 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
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 6: advising on corporate finance
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
14 Oct 2024 - 17 Oct 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
14 Oct 2024 - 17 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Oct 2024 - 17 Oct 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
CLEMENTS, HOLLY JOANNA GRIFFITHS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5573
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5573
UBS AG
Type 1: dealing in securities
22 May 2026 - 27 May 2026
No
AJ5573
UBS AG
Type 4: advising on securities
22 May 2026 - 27 May 2026
No
AJ5573
UBS AG
Type 6: advising on corporate finance
22 May 2026 - 27 May 2026
No
AJ5573
UBS AG
Type 1: dealing in securities
14 Apr 2026 - 23 Apr 2026
No
AJ5573
UBS AG
Type 4: advising on securities
14 Apr 2026 - 23 Apr 2026
No
AJ5573
UBS AG
Type 6: advising on corporate finance
14 Apr 2026 - 23 Apr 2026
No
AJ5573
UBS AG
Type 1: dealing in securities
13 Mar 2026 - 18 Mar 2026
No
AJ5573
UBS AG
Type 4: advising on securities
13 Mar 2026 - 18 Mar 2026
No
AJ5573
UBS AG
Type 6: advising on corporate finance
13 Mar 2026 - 18 Mar 2026
No
AJ5573
UBS AG
Type 1: dealing in securities
14 Oct 2024 - 17 Oct 2024
No
AJ5573
UBS AG
Type 4: advising on securities
14 Oct 2024 - 17 Oct 2024
No
AJ5573
UBS AG
Type 6: advising on corporate finance
14 Oct 2024 - 17 Oct 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.