Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ANDERSEN, MARK MOELLER
Chinese Name of Relevant Individual
HKMA Registration Number
AG6834
Other HKMA Registration Number(s)
AG0789
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
08 Jul 2025 - 11 Jul 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
08 Jul 2025 - 11 Jul 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
16 Jan 2024 - 20 Jan 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
16 Jan 2024 - 20 Jan 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
16 May 2017 - 29 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
16 May 2017 - 29 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
22 Mar 2017 - 02 Apr 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
22 Mar 2017 - 02 Apr 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
19 Jan 2017 - 05 Feb 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
19 Jan 2017 - 05 Feb 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
01 Nov 2016 - 04 Nov 2016
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 2016 - 04 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2015 - 22 Oct 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
19 Oct 2015 - 22 Oct 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
13 Mar 2015 - 27 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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
ANDERSEN, MARK MOELLER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6834
:
Other HKMA Registration Number(s)
AG0789
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0789
UBS AG
Type 1: dealing in securities
08 Jul 2025 - 11 Jul 2025
No
AG0789
UBS AG
Type 4: advising on securities
08 Jul 2025 - 11 Jul 2025
No
AG0789
UBS AG
Type 1: dealing in securities
16 Jan 2024 - 20 Jan 2024
No
AG0789
UBS AG
Type 4: advising on securities
16 Jan 2024 - 20 Jan 2024
No
AG0789
UBS AG
Type 1: dealing in securities
16 May 2017 - 29 May 2017
No
AG0789
UBS AG
Type 4: advising on securities
16 May 2017 - 29 May 2017
No
AG0789
UBS AG
Type 1: dealing in securities
22 Mar 2017 - 02 Apr 2017
No
AG0789
UBS AG
Type 4: advising on securities
22 Mar 2017 - 02 Apr 2017
No
AG0789
UBS AG
Type 1: dealing in securities
19 Jan 2017 - 05 Feb 2017
No
AG0789
UBS AG
Type 4: advising on securities
19 Jan 2017 - 05 Feb 2017
No
AG0789
UBS AG
Type 1: dealing in securities
01 Nov 2016 - 04 Nov 2016
No
AG0789
UBS AG
Type 4: advising on securities
01 Nov 2016 - 04 Nov 2016
No
AG0789
UBS AG
Type 1: dealing in securities
19 Oct 2015 - 22 Oct 2015
No
AG0789
UBS AG
Type 4: advising on securities
19 Oct 2015 - 22 Oct 2015
No
AG6834
UBS AG
Type 1: dealing in securities
13 Mar 2015 - 27 Apr 2015
No
AG6834
UBS AG
Type 4: advising on securities
13 Mar 2015 - 27 Apr 2015
No
AG0789
UBS AG
Type 1: dealing in securities
25 Mar 2014 - 12 Mar 2015
No
AG0789
UBS AG
Type 4: advising on securities
25 Mar 2014 - 12 Mar 2015
No
AG0789
UBS AG
Type 1: dealing in securities
26 Aug 2013 - 30 Aug 2013
No
AG0789
UBS AG
Type 4: advising on securities
26 Aug 2013 - 30 Aug 2013
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.