Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
L'ESPERANCE, ZOE ROSALYN
Chinese Name of Relevant Individual
HKMA Registration Number
AG9089
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
13 Mar 2023 - 17 Mar 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
13 Mar 2023 - 17 Mar 2023
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
13 Mar 2023 - 17 Mar 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
24 Oct 2019 - 30 Oct 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
24 Oct 2019 - 30 Oct 2019
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
24 Oct 2019 - 30 Oct 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
12 Oct 2017 - 18 Oct 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
12 Oct 2017 - 18 Oct 2017
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 Oct 2017 - 18 Oct 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
20 Sep 2016 - 23 Sep 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
20 Sep 2016 - 23 Sep 2016
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
20 Sep 2016 - 23 Sep 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
23 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
23 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
23 Sep 2015 - 25 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
L'ESPERANCE, ZOE ROSALYN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9089
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9089
UBS AG
Type 1: dealing in securities
13 Mar 2023 - 17 Mar 2023
No
AG9089
UBS AG
Type 4: advising on securities
13 Mar 2023 - 17 Mar 2023
No
AG9089
UBS AG
Type 6: advising on corporate finance
13 Mar 2023 - 17 Mar 2023
No
AG9089
UBS AG
Type 1: dealing in securities
24 Oct 2019 - 30 Oct 2019
No
AG9089
UBS AG
Type 4: advising on securities
24 Oct 2019 - 30 Oct 2019
No
AG9089
UBS AG
Type 6: advising on corporate finance
24 Oct 2019 - 30 Oct 2019
No
AG9089
UBS AG
Type 1: dealing in securities
12 Oct 2017 - 18 Oct 2017
No
AG9089
UBS AG
Type 4: advising on securities
12 Oct 2017 - 18 Oct 2017
No
AG9089
UBS AG
Type 6: advising on corporate finance
12 Oct 2017 - 18 Oct 2017
No
AG9089
UBS AG
Type 1: dealing in securities
20 Sep 2016 - 23 Sep 2016
No
AG9089
UBS AG
Type 4: advising on securities
20 Sep 2016 - 23 Sep 2016
No
AG9089
UBS AG
Type 6: advising on corporate finance
20 Sep 2016 - 23 Sep 2016
No
AG9089
UBS AG
Type 1: dealing in securities
23 Sep 2015 - 25 Sep 2015
No
AG9089
UBS AG
Type 4: advising on securities
23 Sep 2015 - 25 Sep 2015
No
AG9089
UBS AG
Type 6: advising on corporate finance
23 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.