Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MACKIE, GRAHAM ALAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG4637
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
13 Apr 2015 - 14 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2015 - 14 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Mar 2015 - 06 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Mar 2015 - 06 Mar 2015
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 Feb 2015 - 06 Feb 2015
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 Feb 2015 - 06 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 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
14 Nov 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
20 Oct 2014 - 22 Oct 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
20 Oct 2014 - 22 Oct 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
25 Sep 2014 - 26 Sep 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
25 Sep 2014 - 26 Sep 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
01 Sep 2014 - 02 Sep 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
01 Sep 2014 - 02 Sep 2014
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
MACKIE, GRAHAM ALAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4637
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4637
UBS AG
Type 1: dealing in securities
13 Apr 2015 - 14 Apr 2015
No
AG4637
UBS AG
Type 4: advising on securities
13 Apr 2015 - 14 Apr 2015
No
AG4637
UBS AG
Type 1: dealing in securities
04 Mar 2015 - 06 Mar 2015
No
AG4637
UBS AG
Type 4: advising on securities
04 Mar 2015 - 06 Mar 2015
No
AG4637
UBS AG
Type 1: dealing in securities
05 Feb 2015 - 06 Feb 2015
No
AG4637
UBS AG
Type 4: advising on securities
05 Feb 2015 - 06 Feb 2015
No
AG4637
UBS AG
Type 1: dealing in securities
14 Nov 2014
No
AG4637
UBS AG
Type 4: advising on securities
14 Nov 2014
No
AG4637
UBS AG
Type 1: dealing in securities
20 Oct 2014 - 22 Oct 2014
No
AG4637
UBS AG
Type 4: advising on securities
20 Oct 2014 - 22 Oct 2014
No
AG4637
UBS AG
Type 1: dealing in securities
25 Sep 2014 - 26 Sep 2014
No
AG4637
UBS AG
Type 4: advising on securities
25 Sep 2014 - 26 Sep 2014
No
AG4637
UBS AG
Type 1: dealing in securities
01 Sep 2014 - 02 Sep 2014
No
AG4637
UBS AG
Type 4: advising on securities
01 Sep 2014 - 02 Sep 2014
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.