Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POWELL, BEN
Chinese Name of Relevant Individual
HKMA Registration Number
AG9986
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
18 Jun 2018 - 22 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
18 Jun 2018 - 22 Jun 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
11 Jan 2018 - 16 Jan 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
11 Jan 2018 - 16 Jan 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 Sep 2017 - 07 Sep 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 Sep 2017 - 07 Sep 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
29 May 2017 - 01 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
29 May 2017 - 01 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 Mar 2017 - 09 Mar 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
07 Mar 2017 - 09 Mar 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
03 Feb 2017 - 13 Feb 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
03 Feb 2017 - 13 Feb 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
23 Nov 2016 - 25 Nov 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
23 Nov 2016 - 25 Nov 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
21 Oct 2016 - 28 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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
POWELL, BEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9986
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9986
UBS AG
Type 1: dealing in securities
18 Jun 2018 - 22 Jun 2018
No
AG9986
UBS AG
Type 4: advising on securities
18 Jun 2018 - 22 Jun 2018
No
AG9986
UBS AG
Type 1: dealing in securities
11 Jan 2018 - 16 Jan 2018
No
AG9986
UBS AG
Type 4: advising on securities
11 Jan 2018 - 16 Jan 2018
No
AG9986
UBS AG
Type 1: dealing in securities
01 Sep 2017 - 07 Sep 2017
No
AG9986
UBS AG
Type 4: advising on securities
01 Sep 2017 - 07 Sep 2017
No
AG9986
UBS AG
Type 1: dealing in securities
29 May 2017 - 01 Jun 2017
No
AG9986
UBS AG
Type 4: advising on securities
29 May 2017 - 01 Jun 2017
No
AG9986
UBS AG
Type 1: dealing in securities
07 Mar 2017 - 09 Mar 2017
No
AG9986
UBS AG
Type 4: advising on securities
07 Mar 2017 - 09 Mar 2017
No
AG9986
UBS AG
Type 1: dealing in securities
03 Feb 2017 - 13 Feb 2017
No
AG9986
UBS AG
Type 4: advising on securities
03 Feb 2017 - 13 Feb 2017
No
AG9986
UBS AG
Type 1: dealing in securities
23 Nov 2016 - 25 Nov 2016
No
AG9986
UBS AG
Type 4: advising on securities
23 Nov 2016 - 25 Nov 2016
No
AG9986
UBS AG
Type 1: dealing in securities
21 Oct 2016 - 28 Oct 2016
No
AG9986
UBS AG
Type 4: advising on securities
21 Oct 2016 - 28 Oct 2016
No
AG9986
UBS AG
Type 1: dealing in securities
03 Apr 2016 - 09 Apr 2016
No
AG9986
UBS AG
Type 4: advising on securities
03 Apr 2016 - 09 Apr 2016
No
AG9986
UBS AG
Type 1: dealing in securities
07 Dec 2015 - 11 Dec 2015
No
AG9986
UBS AG
Type 4: advising on securities
07 Dec 2015 - 11 Dec 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.