Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SLADE, DAVID CHRISTOPHER
Chinese Name of Relevant Individual
HKMA Registration Number
AG9049
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
02 May 2025 - 10 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
02 May 2025 - 10 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
02 May 2025 - 10 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
10 Oct 2024 - 17 Oct 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
10 Oct 2024 - 17 Oct 2024
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
10 Oct 2024 - 17 Oct 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
21 Sep 2015 - 25 Sep 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
21 Sep 2015 - 25 Sep 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
21 Sep 2015 - 25 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
SLADE, DAVID CHRISTOPHER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9049
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9049
UBS AG
Type 1: dealing in securities
02 May 2025 - 10 May 2025
No
AG9049
UBS AG
Type 4: advising on securities
02 May 2025 - 10 May 2025
No
AG9049
UBS AG
Type 6: advising on corporate finance
02 May 2025 - 10 May 2025
No
AG9049
UBS AG
Type 1: dealing in securities
10 Oct 2024 - 17 Oct 2024
No
AG9049
UBS AG
Type 4: advising on securities
10 Oct 2024 - 17 Oct 2024
No
AG9049
UBS AG
Type 6: advising on corporate finance
10 Oct 2024 - 17 Oct 2024
No
AG9049
UBS AG
Type 1: dealing in securities
21 Sep 2015 - 25 Sep 2015
No
AG9049
UBS AG
Type 4: advising on securities
21 Sep 2015 - 25 Sep 2015
No
AG9049
UBS AG
Type 6: advising on corporate finance
21 Sep 2015 - 25 Sep 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.