Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BENTVELZEN, LUKE JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AH0045
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
22 Oct 2019 - 24 Oct 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
22 Oct 2019 - 24 Oct 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
22 Oct 2019 - 24 Oct 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 Aug 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
25 Aug 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
25 Aug 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 Aug 2016 - 06 Aug 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
03 Aug 2016 - 06 Aug 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
03 Aug 2016 - 06 Aug 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
14 Mar 2016 - 16 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
14 Mar 2016 - 16 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
14 Mar 2016 - 16 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
14 Dec 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
14 Dec 2015
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 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
BENTVELZEN, LUKE JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0045
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0045
UBS AG
Type 1: dealing in securities
22 Oct 2019 - 24 Oct 2019
No
AH0045
UBS AG
Type 4: advising on securities
22 Oct 2019 - 24 Oct 2019
No
AH0045
UBS AG
Type 6: advising on corporate finance
22 Oct 2019 - 24 Oct 2019
No
AH0045
UBS AG
Type 1: dealing in securities
25 Aug 2017
No
AH0045
UBS AG
Type 4: advising on securities
25 Aug 2017
No
AH0045
UBS AG
Type 6: advising on corporate finance
25 Aug 2017
No
AH0045
UBS AG
Type 1: dealing in securities
03 Aug 2016 - 06 Aug 2016
No
AH0045
UBS AG
Type 4: advising on securities
03 Aug 2016 - 06 Aug 2016
No
AH0045
UBS AG
Type 6: advising on corporate finance
03 Aug 2016 - 06 Aug 2016
No
AH0045
UBS AG
Type 1: dealing in securities
14 Mar 2016 - 16 Mar 2016
No
AH0045
UBS AG
Type 4: advising on securities
14 Mar 2016 - 16 Mar 2016
No
AH0045
UBS AG
Type 6: advising on corporate finance
14 Mar 2016 - 16 Mar 2016
No
AH0045
UBS AG
Type 1: dealing in securities
14 Dec 2015
No
AH0045
UBS AG
Type 4: advising on securities
14 Dec 2015
No
AH0045
UBS AG
Type 6: advising on corporate finance
14 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.