Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ISSEL, HARTMUT
Chinese Name of Relevant Individual
HKMA Registration Number
AF3129
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
03 Jan 2020 - 06 Jan 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
03 Jan 2020 - 06 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2018 - 07 Jun 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
02 Jun 2018 - 07 Jun 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
22 Feb 2018 - 28 Feb 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
22 Feb 2018 - 28 Feb 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
21 Nov 2016 - 23 Nov 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
21 Nov 2016 - 23 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Apr 2014 - 30 Apr 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
28 Apr 2014 - 30 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2013 - 30 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Aug 2013 - 30 Aug 2013
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 2013 - 10 May 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 22
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
ISSEL, HARTMUT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3129
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3129
UBS AG
Type 1: dealing in securities
03 Jan 2020 - 06 Jan 2020
No
AF3129
UBS AG
Type 4: advising on securities
03 Jan 2020 - 06 Jan 2020
No
AF3129
UBS AG
Type 1: dealing in securities
02 Jun 2018 - 07 Jun 2018
No
AF3129
UBS AG
Type 4: advising on securities
02 Jun 2018 - 07 Jun 2018
No
AF3129
UBS AG
Type 1: dealing in securities
22 Feb 2018 - 28 Feb 2018
No
AF3129
UBS AG
Type 4: advising on securities
22 Feb 2018 - 28 Feb 2018
No
AF3129
UBS AG
Type 1: dealing in securities
21 Nov 2016 - 23 Nov 2016
No
AF3129
UBS AG
Type 4: advising on securities
21 Nov 2016 - 23 Nov 2016
No
AF3129
UBS AG
Type 1: dealing in securities
04 Nov 2015 - 06 Nov 2015
No
AF3129
UBS AG
Type 4: advising on securities
04 Nov 2015 - 06 Nov 2015
No
AF3129
UBS AG
Type 1: dealing in securities
28 Apr 2014 - 30 Apr 2014
No
AF3129
UBS AG
Type 4: advising on securities
28 Apr 2014 - 30 Apr 2014
No
AF3129
UBS AG
Type 1: dealing in securities
27 Aug 2013 - 30 Aug 2013
No
AF3129
UBS AG
Type 4: advising on securities
27 Aug 2013 - 30 Aug 2013
No
AF3129
UBS AG
Type 1: dealing in securities
07 May 2013 - 10 May 2013
No
AF3129
UBS AG
Type 4: advising on securities
07 May 2013 - 10 May 2013
No
AF3129
UBS AG
Type 1: dealing in securities
05 Sep 2012
No
AF3129
UBS AG
Type 4: advising on securities
05 Sep 2012
No
AF3129
UBS AG
Type 1: dealing in securities
09 Nov 2011 - 11 Nov 2011
No
AF3129
UBS AG
Type 4: advising on securities
09 Nov 2011 - 11 Nov 2011
No
AF3129
UBS AG
Type 1: dealing in securities
28 Sep 2011 - 30 Sep 2011
No
AF3129
UBS AG
Type 4: advising on securities
28 Sep 2011 - 30 Sep 2011
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.