UBS AG is a Hong Kong SFC registered institution (CE number AEP554). First licensed on 2006-01-04. Its SFC licence is currently active. It is licensed for 5 regulated activities: Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2006-01-04 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2006-01-04 |
| RA 6 | Advising on Corporate Finance | 就機構融資提供意見 | 2006-01-04 |
| RA 7 | Providing Automated Trading Services | 提供自動化交易服務 | 2006-01-04 |
| RA 9 | Asset Management | 提供資產管理 | 2006-01-04 |
| CE No. | Name | Chinese |
|---|---|---|
| ABN425 | LUI Tze Kit | 呂子杰 |
| ACI535 | LEE Chen Kwok, John | 李鎮國 |
| AEV066 | LAM Chi Yuen | 林志遠 |
| AFE991 | FANG Dongming | 房東明 |
| AFL365 | BAJA Lauro III Castro | |
| AFM599 | NGIE Chuen Shun | 倪傳順 |
| AFY155 | KOH Liang Heong | |
| AGE754 | CHIEN Wen Ling, Adeline | 錢文琳 |
| AGN745 | WONG Kwok Ching, Jamee | 黃國正 |
| AHR004 | HUNT Christopher James Andrews | |
| ALJ848 | OH Seung Joo | 吳昇宙 |
| ALW849 | LO Choi Wan, Amy | |
| AMU467 | WANNENMACHER Tim | |
| ANT913 | PANTONE Nicola | |
| AOO269 | WANG Mimi Christine | 汪玟琦 |
| AOV618 | LI Jing | 李菁 |
| AOW804 | LAM Ka Chun | 林家駿 |
| APQ184 | LO Samson Lambert | 盧穗誠 |
| AQL674 | SPIELHOFER Philippe Marc | |
| AQL844 | JOST Gunther | |
| AYO801 | HO Hiu Kan Kenneth | 何曉勤 |
| AYR264 | LUO Jun | 羅駿 |
| AYS124 | ZHU Zhengqin | 朱正芹 |
| AZF245 | ZUERCHER Adrian Frederic | |
| AZH606 | LIU Chao | 劉超 |
| AZY951 | FALIPOU Fabien Jean Roger | |
| BNW211 | BASSOLINO Gaetano | |
| BQI526 | XU Xiaokui | 徐小葵 |
| BSU842 | CHENG Sin Lam | 鄭善琳 |
| BSZ768 | HELLER Tobias Gerhard | |
| BTE775 | HSIAO Damien | 蕭元豪 |
| BUK507 | BOGNI Yves | |
| BWX325 | WIDMER Pierre Mario | 韋柏毅 |
| BXA967 | KNOEPFEL Mario Remo | |
| BXJ021 | LO Andrew On Yuet | 盧安悅 |