Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
VALLA, MARCO
Chinese Name of Relevant Individual
HKMA Registration Number
AF7804
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
22 May 2026 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2026 - 29 May 2026
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
22 May 2026 - 29 May 2026
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 Sep 2025 - 11 Sep 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
05 Sep 2025 - 11 Sep 2025
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
05 Sep 2025 - 11 Sep 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 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 6: advising on corporate finance
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
01 Nov 2023 - 02 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2023 - 02 Nov 2023
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
01 Nov 2023 - 02 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Oct 2012 - 19 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Oct 2012 - 19 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
VALLA, MARCO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7804
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7804
UBS AG
Type 1: dealing in securities
22 May 2026 - 29 May 2026
No
AF7804
UBS AG
Type 4: advising on securities
22 May 2026 - 29 May 2026
No
AF7804
UBS AG
Type 6: advising on corporate finance
22 May 2026 - 29 May 2026
No
AF7804
UBS AG
Type 1: dealing in securities
05 Sep 2025 - 11 Sep 2025
No
AF7804
UBS AG
Type 4: advising on securities
05 Sep 2025 - 11 Sep 2025
No
AF7804
UBS AG
Type 6: advising on corporate finance
05 Sep 2025 - 11 Sep 2025
No
AF7804
UBS AG
Type 1: dealing in securities
24 May 2024 - 29 May 2024
No
AF7804
UBS AG
Type 4: advising on securities
24 May 2024 - 29 May 2024
No
AF7804
UBS AG
Type 6: advising on corporate finance
24 May 2024 - 29 May 2024
No
AF7804
UBS AG
Type 1: dealing in securities
01 Nov 2023 - 02 Nov 2023
No
AF7804
UBS AG
Type 4: advising on securities
01 Nov 2023 - 02 Nov 2023
No
AF7804
UBS AG
Type 6: advising on corporate finance
01 Nov 2023 - 02 Nov 2023
No
AF7804
BARCLAYS BANK PLC
Type 1: dealing in securities
14 Oct 2012 - 19 Oct 2012
No
AF7804
BARCLAYS BANK PLC
Type 6: advising on corporate finance
14 Oct 2012 - 19 Oct 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.