Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAEFELE, MARK HENRY
Chinese Name of Relevant Individual
HKMA Registration Number
AF6470
Other HKMA Registration Number(s)
AG0199
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
14 Jan 2025 - 16 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jan 2025 - 16 Jan 2025
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 Jun 2024 - 26 Jun 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 Jun 2024 - 26 Jun 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
18 Jun 2019 - 21 Jun 2019
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 Jun 2019 - 21 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2019 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2019 - 11 Jan 2019
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 Jun 2018 - 22 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
18 Jun 2018 - 22 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
09 Jan 2018 - 12 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
09 Jan 2018 - 12 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
11 Jan 2017 - 13 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
11 Jan 2017 - 13 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
06 Jun 2016 - 07 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 30
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
HAEFELE, MARK HENRY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6470
:
Other HKMA Registration Number(s)
AG0199
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0199
UBS AG
Type 1: dealing in securities
14 Jan 2025 - 16 Jan 2025
No
AG0199
UBS AG
Type 4: advising on securities
14 Jan 2025 - 16 Jan 2025
No
AG0199
UBS AG
Type 1: dealing in securities
24 Jun 2024 - 26 Jun 2024
No
AG0199
UBS AG
Type 4: advising on securities
24 Jun 2024 - 26 Jun 2024
No
AG0199
UBS AG
Type 1: dealing in securities
18 Jun 2019 - 21 Jun 2019
No
AG0199
UBS AG
Type 4: advising on securities
18 Jun 2019 - 21 Jun 2019
No
AG0199
UBS AG
Type 1: dealing in securities
08 Jan 2019 - 11 Jan 2019
No
AG0199
UBS AG
Type 4: advising on securities
08 Jan 2019 - 11 Jan 2019
No
AG0199
UBS AG
Type 1: dealing in securities
18 Jun 2018 - 22 Jun 2018
No
AG0199
UBS AG
Type 4: advising on securities
18 Jun 2018 - 22 Jun 2018
No
AG0199
UBS AG
Type 1: dealing in securities
09 Jan 2018 - 12 Jan 2018
No
AG0199
UBS AG
Type 4: advising on securities
09 Jan 2018 - 12 Jan 2018
No
AG0199
UBS AG
Type 1: dealing in securities
11 Jan 2017 - 13 Jan 2017
No
AG0199
UBS AG
Type 4: advising on securities
11 Jan 2017 - 13 Jan 2017
No
AG0199
UBS AG
Type 1: dealing in securities
06 Jun 2016 - 07 Jun 2016
No
AG0199
UBS AG
Type 4: advising on securities
06 Jun 2016 - 07 Jun 2016
No
AG0199
UBS AG
Type 1: dealing in securities
08 Jun 2015
No
AG0199
UBS AG
Type 4: advising on securities
08 Jun 2015
No
AG0199
UBS AG
Type 1: dealing in securities
20 Apr 2015 - 23 Apr 2015
No
AG0199
UBS AG
Type 4: advising on securities
20 Apr 2015 - 23 Apr 2015
No
AG0199
UBS AG
Type 1: dealing in securities
02 Jul 2014 - 04 Jul 2014
No
AG0199
UBS AG
Type 4: advising on securities
02 Jul 2014 - 04 Jul 2014
No
AG0199
UBS AG
Type 1: dealing in securities
15 Jan 2014 - 17 Jan 2014
No
AG0199
UBS AG
Type 4: advising on securities
15 Jan 2014 - 17 Jan 2014
No
AG0199
UBS AG
Type 1: dealing in securities
02 Jul 2013 - 05 Jul 2013
No
AG0199
UBS AG
Type 4: advising on securities
02 Jul 2013 - 05 Jul 2013
No
AF6470
UBS AG
Type 1: dealing in securities
16 Jan 2013 - 18 Jan 2013
No
AF6470
UBS AG
Type 4: advising on securities
16 Jan 2013 - 18 Jan 2013
No
AF6470
UBS AG
Type 1: dealing in securities
09 Jul 2012
No
AF6470
UBS AG
Type 4: advising on securities
09 Jul 2012
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.
