Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BAJA, LAURO III CASTRO
Chinese Name of Relevant Individual
HKMA Registration Number
AG7046
Other HKMA Registration Number(s)
AE4039
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Dec 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER INVESTMENT BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Dec 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER INVESTMENT BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
22 Dec 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER INVESTMENT BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
20 May 2025
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
UBS AG
Effective Date
20 May 2025
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
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
Since 20 May 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 May 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 20 May 2025
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2020 - 19 May 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
22 Dec 2020 - 19 May 2025
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
22 Dec 2020 - 19 May 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
25 Mar 2015 - 18 Nov 2020
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 Mar 2015 - 18 Nov 2020
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
25 Mar 2015 - 18 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2009 - 24 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
12 Sep 2009 - 24 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
12 Sep 2009 - 24 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
BAJA, LAURO III CASTRO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7046
:
Other HKMA Registration Number(s)
AE4039
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
22 Dec 2020
Yes
SENIOR MANAGER INVESTMENT BANKING
UBS AG
Type 4: advising on securities
22 Dec 2020
Yes
SENIOR MANAGER INVESTMENT BANKING
UBS AG
Type 6: advising on corporate finance
22 Dec 2020
Yes
SENIOR MANAGER INVESTMENT BANKING
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
20 May 2025
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
UBS AG
2
20 May 2025
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7046
UBS AG
Type 1: dealing in securities
Since 20 May 2025
Yes
AG7046
UBS AG
Type 4: advising on securities
Since 20 May 2025
Yes
AG7046
UBS AG
Type 6: advising on corporate finance
Since 20 May 2025
Yes
AG7046
UBS AG
Type 1: dealing in securities
22 Dec 2020 - 19 May 2025
No
AG7046
UBS AG
Type 4: advising on securities
22 Dec 2020 - 19 May 2025
No
AG7046
UBS AG
Type 6: advising on corporate finance
22 Dec 2020 - 19 May 2025
No
AG7046
UBS AG
Type 1: dealing in securities
25 Mar 2015 - 18 Nov 2020
No
AG7046
UBS AG
Type 4: advising on securities
25 Mar 2015 - 18 Nov 2020
No
AG7046
UBS AG
Type 6: advising on corporate finance
25 Mar 2015 - 18 Nov 2020
No
AE4039
UBS AG
Type 1: dealing in securities
12 Sep 2009 - 24 Mar 2015
No
AE4039
UBS AG
Type 4: advising on securities
12 Sep 2009 - 24 Mar 2015
No
AE4039
UBS AG
Type 6: advising on corporate finance
12 Sep 2009 - 24 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.