Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ALEXANDER, NICHOLAS
Chinese Name of Relevant Individual
HKMA Registration Number
AF3402
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 Feb 2018 - 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
24 Feb 2018 - 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
24 Feb 2018 - 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
24 Jan 2018 - 25 Jan 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
24 Jan 2018 - 25 Jan 2018
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
24 Jan 2018 - 25 Jan 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
18 Oct 2011 - 29 Apr 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
18 Oct 2011 - 29 Apr 2016
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 - 29 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
ALEXANDER, NICHOLAS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF3402
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3402
UBS AG
Type 1: dealing in securities
24 Feb 2018 - 15 Jun 2022
No
AF3402
UBS AG
Type 4: advising on securities
24 Feb 2018 - 15 Jun 2022
No
AF3402
UBS AG
Type 6: advising on corporate finance
24 Feb 2018 - 15 Jun 2022
No
AF3402
UBS AG
Type 1: dealing in securities
24 Jan 2018 - 25 Jan 2018
No
AF3402
UBS AG
Type 4: advising on securities
24 Jan 2018 - 25 Jan 2018
No
AF3402
UBS AG
Type 6: advising on corporate finance
24 Jan 2018 - 25 Jan 2018
No
AF3402
UBS AG
Type 1: dealing in securities
18 Oct 2011 - 29 Apr 2016
No
AF3402
UBS AG
Type 4: advising on securities
18 Oct 2011 - 29 Apr 2016
No
AF3402
UBS AG
Type 6: advising on corporate finance
18 Oct 2011 - 29 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.