Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAFON, ERIC JEAN-MICHEL
Chinese Name of Relevant Individual
HKMA Registration Number
AG9371
Other HKMA Registration Number(s)
AG0147
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
15 Oct 2015 - 03 Dec 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 Oct 2015 - 03 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
15 Oct 2015 - 03 Dec 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
26 Jun 2013 - 04 Oct 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
26 Jun 2013 - 04 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
26 Jun 2013 - 04 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LAFON, ERIC JEAN-MICHEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9371
:
Other HKMA Registration Number(s)
AG0147
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9371
UBS AG
Type 1: dealing in securities
15 Oct 2015 - 03 Dec 2025
No
AG9371
UBS AG
Type 4: advising on securities
15 Oct 2015 - 03 Dec 2025
No
AG9371
UBS AG
Type 7: providing automated trading services
15 Oct 2015 - 03 Dec 2025
No
AG0147
UBS AG
Type 1: dealing in securities
26 Jun 2013 - 04 Oct 2015
No
AG0147
UBS AG
Type 4: advising on securities
26 Jun 2013 - 04 Oct 2015
No
AG0147
UBS AG
Type 7: providing automated trading services
26 Jun 2013 - 04 Oct 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.