Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BLUM, MICHAEL ROBERT
Chinese Name of Relevant Individual
HKMA Registration Number
AC6928
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
02 Nov 2009 - 17 May 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2009 - 17 May 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
02 Nov 2009 - 17 May 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2005 - 01 Nov 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2005 - 01 Nov 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
16 Sep 2005 - 01 Nov 2009
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
BLUM, MICHAEL ROBERT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC6928
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6928
UBS AG
Type 1: dealing in securities
02 Nov 2009 - 17 May 2021
Yes
AC6928
UBS AG
Type 4: advising on securities
02 Nov 2009 - 17 May 2021
Yes
AC6928
UBS AG
Type 9: asset management
02 Nov 2009 - 17 May 2021
Yes
AC6928
UBS AG
Type 1: dealing in securities
16 Sep 2005 - 01 Nov 2009
No
AC6928
UBS AG
Type 4: advising on securities
16 Sep 2005 - 01 Nov 2009
No
AC6928
UBS AG
Type 9: asset management
16 Sep 2005 - 01 Nov 2009
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.