Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FORCIOLI, MATHIEU JEAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG6829
Other HKMA Registration Number(s)
AF3401
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
First date of engagement
01 Sep 2022
Is an Executive Officer? (Yes / No)
Yes
Capacity
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Effective Date
17 Nov 2022
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
Since 17 Nov 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
01 Sep 2022 - 16 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2015 - 25 May 2017
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 - 25 May 2017
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 - 25 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2011 - 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
18 Oct 2011 - 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
18 Oct 2011 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
FORCIOLI, MATHIEU JEAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6829
:
Other HKMA Registration Number(s)
AF3401
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Sep 2022
No
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Sep 2022
No
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
01 Sep 2022
Yes
GLOBAL AND ASIA PACIFIC REGIONAL HEAD OF ALTERNATIVES
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
1
17 Nov 2022
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
Since 17 Nov 2022
Yes
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 01 Sep 2022
No
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 01 Sep 2022
No
AG6829
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
01 Sep 2022 - 16 Nov 2022
No
AG6829
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 25 May 2017
No
AG6829
UBS AG
Type 4: advising on securities
13 Mar 2015 - 25 May 2017
No
AG6829
UBS AG
Type 6: advising on corporate finance
13 Mar 2015 - 25 May 2017
No
AF3401
UBS AG
Type 1: dealing in securities
18 Oct 2011 - 12 Mar 2015
No
AF3401
UBS AG
Type 4: advising on securities
18 Oct 2011 - 12 Mar 2015
No
AF3401
UBS AG
Type 6: advising on corporate finance
18 Oct 2011 - 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.