Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIM, XUXIANG ALEX
Chinese Name of Relevant Individual
林旭翔
HKMA Registration Number
AJ6379
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
26 May 2025 - 30 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
26 May 2025 - 30 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
21 Feb 2025 - 25 Feb 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
21 Feb 2025 - 25 Feb 2025
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
LIM, XUXIANG ALEX
:
Chinese Name of Relevant Individual
林旭翔
:
HKMA Registration Number
AJ6379
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ6379
UBS AG
Type 1: dealing in securities
26 May 2025 - 30 May 2025
No
AJ6379
UBS AG
Type 4: advising on securities
26 May 2025 - 30 May 2025
No
AJ6379
UBS AG
Type 1: dealing in securities
21 Feb 2025 - 25 Feb 2025
No
AJ6379
UBS AG
Type 4: advising on securities
21 Feb 2025 - 25 Feb 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.