Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HARVEY, CHRISTOPHER WILLIAM
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5660
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
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
25 Oct 2024 - 29 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
25 Oct 2024 - 29 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
25 Oct 2024 - 29 Oct 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HARVEY, CHRISTOPHER WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5660
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5660
UBS AG
Type 1: dealing in securities
14 Apr 2026 - 23 Apr 2026
No
AJ5660
UBS AG
Type 4: advising on securities
14 Apr 2026 - 23 Apr 2026
No
AJ5660
UBS AG
Type 6: advising on corporate finance
14 Apr 2026 - 23 Apr 2026
No
AJ5660
UBS AG
Type 1: dealing in securities
25 Oct 2024 - 29 Oct 2024
No
AJ5660
UBS AG
Type 4: advising on securities
25 Oct 2024 - 29 Oct 2024
No
AJ5660
UBS AG
Type 6: advising on corporate finance
25 Oct 2024 - 29 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.