Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROXBURGH, NEIL THOMSON
Chinese Name of Relevant Individual
HKMA Registration Number
AH0364
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
26 Jan 2024 - 02 Feb 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
26 Jan 2024 - 02 Feb 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
15 Mar 2018 - 23 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
15 Mar 2018 - 23 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
18 Jan 2016 - 29 Jan 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
18 Jan 2016 - 29 Jan 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
ROXBURGH, NEIL THOMSON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0364
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0364
UBS AG
Type 1: dealing in securities
26 Jan 2024 - 02 Feb 2024
No
AH0364
UBS AG
Type 4: advising on securities
26 Jan 2024 - 02 Feb 2024
No
AH0364
UBS AG
Type 1: dealing in securities
15 Mar 2018 - 23 Mar 2018
No
AH0364
UBS AG
Type 4: advising on securities
15 Mar 2018 - 23 Mar 2018
No
AH0364
UBS AG
Type 1: dealing in securities
18 Jan 2016 - 29 Jan 2016
No
AH0364
UBS AG
Type 4: advising on securities
18 Jan 2016 - 29 Jan 2016
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.