Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SMILES, SIMON GAETAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG7587
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
21 Sep 2017 - 27 Sep 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
21 Sep 2017 - 27 Sep 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
02 May 2017 - 05 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
02 May 2017 - 05 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 Jun 2016 - 25 Jun 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
22 Jun 2016 - 25 Jun 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
09 May 2016 - 13 May 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
09 May 2016 - 13 May 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
18 Jan 2016 - 21 Jan 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
18 Jan 2016 - 21 Jan 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
08 Jun 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
08 Jun 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
17 May 2015 - 20 May 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
17 May 2015 - 20 May 2015
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
SMILES, SIMON GAETAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7587
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7587
UBS AG
Type 1: dealing in securities
21 Sep 2017 - 27 Sep 2017
No
AG7587
UBS AG
Type 4: advising on securities
21 Sep 2017 - 27 Sep 2017
No
AG7587
UBS AG
Type 1: dealing in securities
02 May 2017 - 05 May 2017
No
AG7587
UBS AG
Type 4: advising on securities
02 May 2017 - 05 May 2017
No
AG7587
UBS AG
Type 1: dealing in securities
22 Jun 2016 - 25 Jun 2016
No
AG7587
UBS AG
Type 4: advising on securities
22 Jun 2016 - 25 Jun 2016
No
AG7587
UBS AG
Type 1: dealing in securities
09 May 2016 - 13 May 2016
No
AG7587
UBS AG
Type 4: advising on securities
09 May 2016 - 13 May 2016
No
AG7587
UBS AG
Type 1: dealing in securities
18 Jan 2016 - 21 Jan 2016
No
AG7587
UBS AG
Type 4: advising on securities
18 Jan 2016 - 21 Jan 2016
No
AG7587
UBS AG
Type 1: dealing in securities
08 Jun 2015
No
AG7587
UBS AG
Type 4: advising on securities
08 Jun 2015
No
AG7587
UBS AG
Type 1: dealing in securities
17 May 2015 - 20 May 2015
No
AG7587
UBS AG
Type 4: advising on securities
17 May 2015 - 20 May 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.