Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SPIELHOFER, PHILIPPE MARC
Chinese Name of Relevant Individual
HKMA Registration Number
AF1114
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
07 May 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
07 May 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
First date of engagement
28 Jul 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER WM
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
09 Feb 2022
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
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 9: asset management
Effective Period
Since 09 Feb 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Aug 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
Since 11 Aug 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2023 - 31 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Dec 2023 - 31 May 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
28 Jul 2021 - 08 Feb 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
07 May 2011 - 10 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 May 2011 - 10 Aug 2021
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 May 2011 - 17 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
07 May 2011 - 17 Aug 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
SPIELHOFER, PHILIPPE MARC
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF1114
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
07 May 2011
Yes
SENIOR MANAGER WM
UBS AG
Type 4: advising on securities
07 May 2011
Yes
SENIOR MANAGER WM
UBS AG
Type 9: asset management
28 Jul 2021
Yes
SENIOR MANAGER WM
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
09 Feb 2022
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1114
UBS AG
Type 9: asset management
Since 09 Feb 2022
Yes
AF1114
UBS AG
Type 1: dealing in securities
Since 11 Aug 2021
Yes
AF1114
UBS AG
Type 4: advising on securities
Since 11 Aug 2021
Yes
AF1114
CREDIT SUISSE AG
Type 1: dealing in securities
07 Dec 2023 - 31 May 2024
Yes
AF1114
CREDIT SUISSE AG
Type 4: advising on securities
07 Dec 2023 - 31 May 2024
Yes
AF1114
UBS AG
Type 9: asset management
28 Jul 2021 - 08 Feb 2022
No
AF1114
UBS AG
Type 1: dealing in securities
07 May 2011 - 10 Aug 2021
No
AF1114
UBS AG
Type 4: advising on securities
07 May 2011 - 10 Aug 2021
No
AF1114
UBS AG
Type 6: advising on corporate finance
07 May 2011 - 17 Aug 2015
No
AF1114
UBS AG
Type 9: asset management
07 May 2011 - 17 Aug 2015
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.