Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FRIEDMAN, ALEXANDER STEPHEN
Chinese Name of Relevant Individual
HKMA Registration Number
AF8055
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
18 May 2014 - 21 May 2014
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 May 2014 - 21 May 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jan 2014 - 17 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jan 2014 - 17 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Jan 2013 - 18 Jan 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Jan 2013 - 18 Jan 2013
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 Nov 2012 - 07 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2012 - 07 Nov 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
FRIEDMAN, ALEXANDER STEPHEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8055
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8055
UBS AG
Type 1: dealing in securities
18 May 2014 - 21 May 2014
No
AF8055
UBS AG
Type 4: advising on securities
18 May 2014 - 21 May 2014
No
AF8055
UBS AG
Type 1: dealing in securities
15 Jan 2014 - 17 Jan 2014
No
AF8055
UBS AG
Type 4: advising on securities
15 Jan 2014 - 17 Jan 2014
No
AF8055
UBS AG
Type 1: dealing in securities
16 Jan 2013 - 18 Jan 2013
No
AF8055
UBS AG
Type 4: advising on securities
16 Jan 2013 - 18 Jan 2013
No
AF8055
UBS AG
Type 1: dealing in securities
06 Nov 2012 - 07 Nov 2012
No
AF8055
UBS AG
Type 4: advising on securities
06 Nov 2012 - 07 Nov 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.