Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROSFELDER, LAURENT EUGENE
Chinese Name of Relevant Individual
HKMA Registration Number
AF6648
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 4: advising on securities
Effective Period
22 May 2020 - 12 Nov 2023
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 Aug 2022 - 09 Nov 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 May 2020 - 21 Aug 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
20 Feb 2014 - 05 Jul 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
27 Jul 2012 - 05 Jul 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
ROSFELDER, LAURENT EUGENE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6648
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6648
UBS AG
Type 4: advising on securities
22 May 2020 - 12 Nov 2023
No
AF6648
UBS AG
Type 1: dealing in securities
22 Aug 2022 - 09 Nov 2023
Yes
AF6648
UBS AG
Type 1: dealing in securities
22 May 2020 - 21 Aug 2022
No
AF6648
UBS AG
Type 4: advising on securities
20 Feb 2014 - 05 Jul 2019
No
AF6648
UBS AG
Type 1: dealing in securities
27 Jul 2012 - 05 Jul 2019
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.