Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROWLEY, JONATHAN DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AG9755
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
24 May 2024 - 30 May 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
24 May 2024 - 30 May 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
24 May 2024 - 30 May 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
14 Apr 2023 - 19 Apr 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
14 Apr 2023 - 19 Apr 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
14 Apr 2023 - 19 Apr 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
12 Jul 2019 - 16 Jul 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
12 Jul 2019 - 16 Jul 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
12 Jul 2019 - 16 Jul 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
26 Feb 2019 - 02 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
26 Feb 2019 - 02 Mar 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
26 Feb 2019 - 02 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
25 Jun 2018 - 27 Jun 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
25 Jun 2018 - 27 Jun 2018
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
25 Jun 2018 - 27 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 27
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
ROWLEY, JONATHAN DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9755
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9755
UBS AG
Type 1: dealing in securities
24 May 2024 - 30 May 2024
No
AG9755
UBS AG
Type 4: advising on securities
24 May 2024 - 30 May 2024
No
AG9755
UBS AG
Type 6: advising on corporate finance
24 May 2024 - 30 May 2024
No
AG9755
UBS AG
Type 1: dealing in securities
14 Apr 2023 - 19 Apr 2023
No
AG9755
UBS AG
Type 4: advising on securities
14 Apr 2023 - 19 Apr 2023
No
AG9755
UBS AG
Type 6: advising on corporate finance
14 Apr 2023 - 19 Apr 2023
No
AG9755
UBS AG
Type 1: dealing in securities
12 Jul 2019 - 16 Jul 2019
No
AG9755
UBS AG
Type 4: advising on securities
12 Jul 2019 - 16 Jul 2019
No
AG9755
UBS AG
Type 6: advising on corporate finance
12 Jul 2019 - 16 Jul 2019
No
AG9755
UBS AG
Type 1: dealing in securities
26 Feb 2019 - 02 Mar 2019
No
AG9755
UBS AG
Type 4: advising on securities
26 Feb 2019 - 02 Mar 2019
No
AG9755
UBS AG
Type 6: advising on corporate finance
26 Feb 2019 - 02 Mar 2019
No
AG9755
UBS AG
Type 1: dealing in securities
25 Jun 2018 - 27 Jun 2018
No
AG9755
UBS AG
Type 4: advising on securities
25 Jun 2018 - 27 Jun 2018
No
AG9755
UBS AG
Type 6: advising on corporate finance
25 Jun 2018 - 27 Jun 2018
No
AG9755
UBS AG
Type 1: dealing in securities
11 Jun 2018 - 14 Jun 2018
No
AG9755
UBS AG
Type 4: advising on securities
11 Jun 2018 - 14 Jun 2018
No
AG9755
UBS AG
Type 6: advising on corporate finance
11 Jun 2018 - 14 Jun 2018
No
AG9755
UBS AG
Type 1: dealing in securities
25 Feb 2016 - 11 Mar 2016
No
AG9755
UBS AG
Type 4: advising on securities
25 Feb 2016 - 11 Mar 2016
No
AG9755
UBS AG
Type 6: advising on corporate finance
25 Feb 2016 - 11 Mar 2016
No
AG9755
UBS AG
Type 1: dealing in securities
30 Nov 2015 - 31 Dec 2015
No
AG9755
UBS AG
Type 4: advising on securities
30 Nov 2015 - 31 Dec 2015
No
AG9755
UBS AG
Type 6: advising on corporate finance
30 Nov 2015 - 31 Dec 2015
No
AG9755
UBS AG
Type 1: dealing in securities
16 Nov 2015 - 20 Nov 2015
No
AG9755
UBS AG
Type 4: advising on securities
16 Nov 2015 - 20 Nov 2015
No
AG9755
UBS AG
Type 6: advising on corporate finance
16 Nov 2015 - 20 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.