Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HORROBIN, FERGUS PETER
Chinese Name of Relevant Individual
HKMA Registration Number
AG6827
Other HKMA Registration Number(s)
AE8659
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 Mar 2015 - 09 Mar 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
13 Mar 2015 - 09 Mar 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
13 Mar 2015 - 09 Mar 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
23 Oct 2010 - 12 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
23 Oct 2010 - 12 Mar 2015
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
23 Oct 2010 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HORROBIN, FERGUS PETER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6827
:
Other HKMA Registration Number(s)
AE8659
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6827
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 09 Mar 2026
No
AG6827
UBS AG
Type 4: advising on securities
13 Mar 2015 - 09 Mar 2026
No
AG6827
UBS AG
Type 6: advising on corporate finance
13 Mar 2015 - 09 Mar 2026
No
AE8659
UBS AG
Type 1: dealing in securities
23 Oct 2010 - 12 Mar 2015
No
AE8659
UBS AG
Type 4: advising on securities
23 Oct 2010 - 12 Mar 2015
No
AE8659
UBS AG
Type 6: advising on corporate finance
23 Oct 2010 - 12 Mar 2015
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.