Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AFFOLTER, MARCO ANDREA
Chinese Name of Relevant Individual
HKMA Registration Number
AG9602
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
20 Sep 2024 - 25 Sep 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
20 Sep 2024 - 25 Sep 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
06 Jun 2023 - 09 Jun 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
06 Jun 2023 - 09 Jun 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
08 Mar 2019 - 15 Mar 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
08 Mar 2019 - 15 Mar 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 Mar 2018 - 10 Mar 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 Mar 2018 - 10 Mar 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
01 Jun 2017 - 09 Jun 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
01 Jun 2017 - 09 Jun 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
07 Sep 2016 - 09 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
07 Sep 2016 - 09 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
04 Mar 2016 - 09 Mar 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
04 Mar 2016 - 09 Mar 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
03 Nov 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
AFFOLTER, MARCO ANDREA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9602
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9602
UBS AG
Type 1: dealing in securities
20 Sep 2024 - 25 Sep 2024
No
AG9602
UBS AG
Type 4: advising on securities
20 Sep 2024 - 25 Sep 2024
No
AG9602
UBS AG
Type 1: dealing in securities
06 Jun 2023 - 09 Jun 2023
No
AG9602
UBS AG
Type 4: advising on securities
06 Jun 2023 - 09 Jun 2023
No
AG9602
UBS AG
Type 1: dealing in securities
08 Mar 2019 - 15 Mar 2019
No
AG9602
UBS AG
Type 4: advising on securities
08 Mar 2019 - 15 Mar 2019
No
AG9602
UBS AG
Type 1: dealing in securities
02 Mar 2018 - 10 Mar 2018
No
AG9602
UBS AG
Type 4: advising on securities
02 Mar 2018 - 10 Mar 2018
No
AG9602
UBS AG
Type 1: dealing in securities
01 Jun 2017 - 09 Jun 2017
No
AG9602
UBS AG
Type 4: advising on securities
01 Jun 2017 - 09 Jun 2017
No
AG9602
UBS AG
Type 1: dealing in securities
07 Sep 2016 - 09 Sep 2016
No
AG9602
UBS AG
Type 4: advising on securities
07 Sep 2016 - 09 Sep 2016
No
AG9602
UBS AG
Type 1: dealing in securities
04 Mar 2016 - 09 Mar 2016
No
AG9602
UBS AG
Type 4: advising on securities
04 Mar 2016 - 09 Mar 2016
No
AG9602
UBS AG
Type 1: dealing in securities
03 Nov 2015 - 06 Nov 2015
No
AG9602
UBS AG
Type 4: advising on securities
03 Nov 2015 - 06 Nov 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.