Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAPPELLINI, MATTEO
Chinese Name of Relevant Individual
HKMA Registration Number
AF0625
Other HKMA Registration Number(s)
AG5916
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
Since 30 Dec 2014
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
07 Jan 2017 - 22 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Dec 2014 - 22 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
30 Dec 2014 - 04 Jan 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
29 Mar 2011 - 29 Dec 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
CAPPELLINI, MATTEO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0625
:
Other HKMA Registration Number(s)
AG5916
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5916
UBS AG
Type 1: dealing in securities
Since 30 Dec 2014
No
AG5916
UBS AG
Type 6: advising on corporate finance
07 Jan 2017 - 22 Apr 2020
No
AG5916
UBS AG
Type 4: advising on securities
30 Dec 2014 - 22 Apr 2020
No
AG5916
UBS AG
Type 7: providing automated trading services
30 Dec 2014 - 04 Jan 2017
No
AF0625
UBS AG
Type 1: dealing in securities
29 Mar 2011 - 29 Dec 2014
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.