Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GRANGER, AXEL ALEXANDRE
Chinese Name of Relevant Individual
HKMA Registration Number
AC5716
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MGR INV. BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MGR INV. BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
28 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MGR INV. BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 28 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Jun 2023
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
Since 28 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2023 - 09 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2023 - 09 Jun 2023
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
05 Jun 2023 - 09 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2023 - 25 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 May 2023 - 25 May 2023
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
12 May 2023 - 25 May 2023
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 2023 - 21 Apr 2023
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 2023 - 21 Apr 2023
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 2023 - 21 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2023 - 04 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Mar 2023 - 04 Apr 2023
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
31 Mar 2023 - 04 Apr 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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
GRANGER, AXEL ALEXANDRE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC5716
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
28 Jun 2023
No
SENIOR MGR INV. BANKING
UBS AG
Type 4: advising on securities
28 Jun 2023
No
SENIOR MGR INV. BANKING
UBS AG
Type 6: advising on corporate finance
28 Jun 2023
No
SENIOR MGR INV. BANKING
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5716
UBS AG
Type 1: dealing in securities
Since 28 Jun 2023
No
AC5716
UBS AG
Type 4: advising on securities
Since 28 Jun 2023
No
AC5716
UBS AG
Type 6: advising on corporate finance
Since 28 Jun 2023
No
AC5716
UBS AG
Type 1: dealing in securities
05 Jun 2023 - 09 Jun 2023
No
AC5716
UBS AG
Type 4: advising on securities
05 Jun 2023 - 09 Jun 2023
No
AC5716
UBS AG
Type 6: advising on corporate finance
05 Jun 2023 - 09 Jun 2023
No
AC5716
UBS AG
Type 1: dealing in securities
12 May 2023 - 25 May 2023
No
AC5716
UBS AG
Type 4: advising on securities
12 May 2023 - 25 May 2023
No
AC5716
UBS AG
Type 6: advising on corporate finance
12 May 2023 - 25 May 2023
No
AC5716
UBS AG
Type 1: dealing in securities
14 Apr 2023 - 21 Apr 2023
No
AC5716
UBS AG
Type 4: advising on securities
14 Apr 2023 - 21 Apr 2023
No
AC5716
UBS AG
Type 6: advising on corporate finance
14 Apr 2023 - 21 Apr 2023
No
AC5716
UBS AG
Type 1: dealing in securities
31 Mar 2023 - 04 Apr 2023
No
AC5716
UBS AG
Type 4: advising on securities
31 Mar 2023 - 04 Apr 2023
No
AC5716
UBS AG
Type 6: advising on corporate finance
31 Mar 2023 - 04 Apr 2023
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Sep 2019 - 26 Sep 2019
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Sep 2019 - 26 Sep 2019
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
25 Sep 2019 - 26 Sep 2019
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Nov 2018 - 20 Nov 2018
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Nov 2018 - 20 Nov 2018
No
AC5716
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Nov 2018 - 20 Nov 2018
No
AC5716
UBS AG
Type 4: advising on securities
26 May 2005 - 02 Mar 2008
No
AC5716
UBS AG
Type 6: advising on corporate finance
26 May 2005 - 02 Mar 2008
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.