Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FORCIOLI, MATHIEU JEAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF3401
Other HKMA Registration Number(s)
AG6829
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
Since 17 Nov 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
01 Sep 2022 - 16 Nov 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
13 Mar 2015 - 25 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
13 Mar 2015 - 25 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
13 Mar 2015 - 25 May 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
18 Oct 2011 - 12 Mar 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
18 Oct 2011 - 12 Mar 2015
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
18 Oct 2011 - 12 Mar 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
FORCIOLI, MATHIEU JEAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3401
:
Other HKMA Registration Number(s)
AG6829
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
Since 17 Nov 2022
Yes
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Sep 2022
No
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Sep 2022
No
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
01 Sep 2022 - 16 Nov 2022
No
AG6829
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 25 May 2017
No
AG6829
UBS AG
Type 4: advising on securities
13 Mar 2015 - 25 May 2017
No
AG6829
UBS AG
Type 6: advising on corporate finance
13 Mar 2015 - 25 May 2017
No
AF3401
UBS AG
Type 1: dealing in securities
18 Oct 2011 - 12 Mar 2015
No
AF3401
UBS AG
Type 4: advising on securities
18 Oct 2011 - 12 Mar 2015
No
AF3401
UBS AG
Type 6: advising on corporate finance
18 Oct 2011 - 12 Mar 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.