Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LABATTU, SYLVAIN
Chinese Name of Relevant Individual
HKMA Registration Number
AG9987
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
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2019 - 21 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2019 - 21 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Aug 2016 - 26 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
13 Aug 2016 - 26 Mar 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
13 Aug 2016 - 26 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
28 Jun 2016 - 30 Jun 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
28 Jun 2016 - 30 Jun 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
28 Jun 2016 - 30 Jun 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
06 Apr 2016 - 09 Apr 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
06 Apr 2016 - 09 Apr 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
06 Apr 2016 - 09 Apr 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
15 Mar 2016 - 17 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
15 Mar 2016 - 17 Mar 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
15 Mar 2016 - 17 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
07 Dec 2015 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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
LABATTU, SYLVAIN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9987
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9987
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
23 Aug 2019 - 21 Sep 2020
No
AG9987
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
23 Aug 2019 - 21 Sep 2020
No
AG9987
UBS AG
Type 1: dealing in securities
13 Aug 2016 - 26 Mar 2017
No
AG9987
UBS AG
Type 4: advising on securities
13 Aug 2016 - 26 Mar 2017
No
AG9987
UBS AG
Type 6: advising on corporate finance
13 Aug 2016 - 26 Mar 2017
No
AG9987
UBS AG
Type 1: dealing in securities
28 Jun 2016 - 30 Jun 2016
No
AG9987
UBS AG
Type 4: advising on securities
28 Jun 2016 - 30 Jun 2016
No
AG9987
UBS AG
Type 6: advising on corporate finance
28 Jun 2016 - 30 Jun 2016
No
AG9987
UBS AG
Type 1: dealing in securities
06 Apr 2016 - 09 Apr 2016
No
AG9987
UBS AG
Type 4: advising on securities
06 Apr 2016 - 09 Apr 2016
No
AG9987
UBS AG
Type 6: advising on corporate finance
06 Apr 2016 - 09 Apr 2016
No
AG9987
UBS AG
Type 1: dealing in securities
15 Mar 2016 - 17 Mar 2016
No
AG9987
UBS AG
Type 4: advising on securities
15 Mar 2016 - 17 Mar 2016
No
AG9987
UBS AG
Type 6: advising on corporate finance
15 Mar 2016 - 17 Mar 2016
No
AG9987
UBS AG
Type 1: dealing in securities
07 Dec 2015 - 09 Dec 2015
No
AG9987
UBS AG
Type 4: advising on securities
07 Dec 2015 - 09 Dec 2015
No
AG9987
UBS AG
Type 6: advising on corporate finance
07 Dec 2015 - 09 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.