Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NEUMANN, PAUL HANS ULRICH
Chinese Name of Relevant Individual
HKMA Registration Number
AF0651
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
17 Apr 2026 - 21 Apr 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Apr 2026 - 21 Apr 2026
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
17 Apr 2026 - 21 Apr 2026
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 Feb 2025 - 19 Feb 2025
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 Feb 2025 - 19 Feb 2025
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 Feb 2025 - 19 Feb 2025
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 Oct 2018 - 30 Oct 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
26 Oct 2018 - 30 Oct 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
26 Oct 2018 - 30 Oct 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
31 Mar 2011 - 22 May 2014
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 2011 - 22 May 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
31 Mar 2011 - 22 May 2014
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
NEUMANN, PAUL HANS ULRICH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0651
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0651
UBS AG
Type 1: dealing in securities
17 Apr 2026 - 21 Apr 2026
No
AF0651
UBS AG
Type 4: advising on securities
17 Apr 2026 - 21 Apr 2026
No
AF0651
UBS AG
Type 6: advising on corporate finance
17 Apr 2026 - 21 Apr 2026
No
AF0651
UBS AG
Type 1: dealing in securities
14 Feb 2025 - 19 Feb 2025
No
AF0651
UBS AG
Type 4: advising on securities
14 Feb 2025 - 19 Feb 2025
No
AF0651
UBS AG
Type 6: advising on corporate finance
14 Feb 2025 - 19 Feb 2025
No
AF0651
UBS AG
Type 1: dealing in securities
26 Oct 2018 - 30 Oct 2018
No
AF0651
UBS AG
Type 4: advising on securities
26 Oct 2018 - 30 Oct 2018
No
AF0651
UBS AG
Type 6: advising on corporate finance
26 Oct 2018 - 30 Oct 2018
No
AF0651
UBS AG
Type 1: dealing in securities
31 Mar 2011 - 22 May 2014
No
AF0651
UBS AG
Type 4: advising on securities
31 Mar 2011 - 22 May 2014
No
AF0651
UBS AG
Type 6: advising on corporate finance
31 Mar 2011 - 22 May 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.