Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MAZZUCATO, FEDERICA
Chinese Name of Relevant Individual
HKMA Registration Number
AG8429
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
19 Aug 2025 - 21 Aug 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
19 Aug 2025 - 21 Aug 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
15 Jan 2025 - 17 Jan 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
15 Jan 2025 - 17 Jan 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 - 18 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 - 18 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
09 May 2023 - 11 May 2023
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 2023 - 11 May 2023
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 Sep 2019 - 20 Sep 2019
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 Sep 2019 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2019 - 24 Jan 2019
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 Jan 2019 - 24 Jan 2019
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 Aug 2018 - 10 Aug 2018
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 Aug 2018 - 10 Aug 2018
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 Apr 2018 - 20 Apr 2018
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
MAZZUCATO, FEDERICA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8429
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8429
UBS AG
Type 1: dealing in securities
19 Aug 2025 - 21 Aug 2025
No
AG8429
UBS AG
Type 4: advising on securities
19 Aug 2025 - 21 Aug 2025
No
AG8429
UBS AG
Type 1: dealing in securities
15 Jan 2025 - 17 Jan 2025
No
AG8429
UBS AG
Type 4: advising on securities
15 Jan 2025 - 17 Jan 2025
No
AG8429
UBS AG
Type 1: dealing in securities
16 Jan 2024 - 18 Jan 2024
No
AG8429
UBS AG
Type 4: advising on securities
16 Jan 2024 - 18 Jan 2024
No
AG8429
UBS AG
Type 1: dealing in securities
09 May 2023 - 11 May 2023
No
AG8429
UBS AG
Type 4: advising on securities
09 May 2023 - 11 May 2023
No
AG8429
UBS AG
Type 1: dealing in securities
16 Sep 2019 - 20 Sep 2019
No
AG8429
UBS AG
Type 4: advising on securities
16 Sep 2019 - 20 Sep 2019
No
AG8429
UBS AG
Type 1: dealing in securities
21 Jan 2019 - 24 Jan 2019
No
AG8429
UBS AG
Type 4: advising on securities
21 Jan 2019 - 24 Jan 2019
No
AG8429
UBS AG
Type 1: dealing in securities
02 Aug 2018 - 10 Aug 2018
No
AG8429
UBS AG
Type 4: advising on securities
02 Aug 2018 - 10 Aug 2018
No
AG8429
UBS AG
Type 1: dealing in securities
17 Apr 2018 - 20 Apr 2018
No
AG8429
UBS AG
Type 4: advising on securities
17 Apr 2018 - 20 Apr 2018
No
AG8429
UBS AG
Type 1: dealing in securities
25 Jul 2017 - 27 Jul 2017
No
AG8429
UBS AG
Type 4: advising on securities
25 Jul 2017 - 27 Jul 2017
No
AG8429
UBS AG
Type 1: dealing in securities
05 Aug 2015 - 07 Aug 2015
No
AG8429
UBS AG
Type 4: advising on securities
05 Aug 2015 - 07 Aug 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.