Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NELSON, PETER ALEXANDER
Chinese Name of Relevant Individual
HKMA Registration Number
AF0354
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
08 Nov 2018 - 08 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Nov 2018 - 08 Dec 2018
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
08 Nov 2018 - 08 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2017 - 30 Sep 2017
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 Sep 2017 - 30 Sep 2017
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
26 Sep 2017 - 30 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jun 2017 - 29 Jun 2017
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 Jun 2017 - 29 Jun 2017
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
26 Jun 2017 - 29 Jun 2017
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 Mar 2011 - 10 Apr 2016
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 Mar 2011 - 10 Apr 2016
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 Mar 2011 - 10 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
NELSON, PETER ALEXANDER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0354
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0354
UBS AG
Type 1: dealing in securities
08 Nov 2018 - 08 Dec 2018
No
AF0354
UBS AG
Type 4: advising on securities
08 Nov 2018 - 08 Dec 2018
No
AF0354
UBS AG
Type 6: advising on corporate finance
08 Nov 2018 - 08 Dec 2018
No
AF0354
UBS AG
Type 1: dealing in securities
26 Sep 2017 - 30 Sep 2017
No
AF0354
UBS AG
Type 4: advising on securities
26 Sep 2017 - 30 Sep 2017
No
AF0354
UBS AG
Type 6: advising on corporate finance
26 Sep 2017 - 30 Sep 2017
No
AF0354
UBS AG
Type 1: dealing in securities
26 Jun 2017 - 29 Jun 2017
No
AF0354
UBS AG
Type 4: advising on securities
26 Jun 2017 - 29 Jun 2017
No
AF0354
UBS AG
Type 6: advising on corporate finance
26 Jun 2017 - 29 Jun 2017
No
AF0354
UBS AG
Type 1: dealing in securities
12 Mar 2011 - 10 Apr 2016
No
AF0354
UBS AG
Type 4: advising on securities
12 Mar 2011 - 10 Apr 2016
No
AF0354
UBS AG
Type 6: advising on corporate finance
12 Mar 2011 - 10 Apr 2016
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.