Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PEIRCE, GREGORY IAIN
Chinese Name of Relevant Individual
HKMA Registration Number
AF0746
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
29 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
29 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
29 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
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 29 Feb 2024
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 29 Feb 2024
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 29 Feb 2024
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 Jan 2024 - 22 Jan 2024
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 Jan 2024 - 22 Jan 2024
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 Jan 2024 - 22 Jan 2024
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 Aug 2017 - 15 Jun 2022
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 Aug 2017 - 15 Jun 2022
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 Aug 2017 - 15 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2011 - 23 May 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
06 Apr 2011 - 23 May 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
06 Apr 2011 - 23 May 2017
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
PEIRCE, GREGORY IAIN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0746
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
29 Feb 2024
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
29 Feb 2024
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
29 Feb 2024
No
INV. BANKING TEAM LEADER
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)
AF0746
UBS AG
Type 1: dealing in securities
Since 29 Feb 2024
No
AF0746
UBS AG
Type 4: advising on securities
Since 29 Feb 2024
No
AF0746
UBS AG
Type 6: advising on corporate finance
Since 29 Feb 2024
No
AF0746
UBS AG
Type 1: dealing in securities
12 Jan 2024 - 22 Jan 2024
No
AF0746
UBS AG
Type 4: advising on securities
12 Jan 2024 - 22 Jan 2024
No
AF0746
UBS AG
Type 6: advising on corporate finance
12 Jan 2024 - 22 Jan 2024
No
AF0746
UBS AG
Type 1: dealing in securities
12 Aug 2017 - 15 Jun 2022
No
AF0746
UBS AG
Type 4: advising on securities
12 Aug 2017 - 15 Jun 2022
No
AF0746
UBS AG
Type 6: advising on corporate finance
12 Aug 2017 - 15 Jun 2022
No
AF0746
UBS AG
Type 1: dealing in securities
06 Apr 2011 - 23 May 2017
No
AF0746
UBS AG
Type 4: advising on securities
06 Apr 2011 - 23 May 2017
No
AF0746
UBS AG
Type 6: advising on corporate finance
06 Apr 2011 - 23 May 2017
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.