Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CROCE, PAOLO
Chinese Name of Relevant Individual
HKMA Registration Number
AF3225
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
24 May 2024 - 29 May 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
24 May 2024 - 29 May 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
13 Jan 2020 - 17 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
13 Jan 2020 - 17 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
10 Jan 2017 - 11 Jan 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
10 Jan 2017 - 11 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
05 Oct 2011 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
CROCE, PAOLO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3225
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3225
UBS AG
Type 1: dealing in securities
24 May 2024 - 29 May 2024
No
AF3225
UBS AG
Type 4: advising on securities
24 May 2024 - 29 May 2024
No
AF3225
UBS AG
Type 1: dealing in securities
13 Jan 2020 - 17 Jan 2020
No
AF3225
UBS AG
Type 4: advising on securities
13 Jan 2020 - 17 Jan 2020
No
AF3225
UBS AG
Type 1: dealing in securities
10 Jan 2017 - 11 Jan 2017
No
AF3225
UBS AG
Type 4: advising on securities
10 Jan 2017 - 11 Jan 2017
No
AF3225
UBS AG
Type 1: dealing in securities
05 Oct 2011 - 18 Apr 2016
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.