Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GOODMAN, MARK JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AH0444
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 Sep 2023 - 27 Sep 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
22 Sep 2023 - 27 Sep 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
30 Aug 2019 - 06 Sep 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
30 Aug 2019 - 06 Sep 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
08 Apr 2019 - 12 Apr 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
08 Apr 2019 - 12 Apr 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
17 Sep 2018 - 21 Sep 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
17 Sep 2018 - 21 Sep 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
20 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
20 Jun 2018 - 27 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
16 Apr 2018 - 20 Apr 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
16 Apr 2018 - 20 Apr 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
25 Sep 2017 - 29 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
25 Sep 2017 - 29 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
04 May 2017 - 10 May 2017
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
GOODMAN, MARK JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0444
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0444
UBS AG
Type 1: dealing in securities
22 Sep 2023 - 27 Sep 2023
No
AH0444
UBS AG
Type 4: advising on securities
22 Sep 2023 - 27 Sep 2023
No
AH0444
UBS AG
Type 1: dealing in securities
30 Aug 2019 - 06 Sep 2019
No
AH0444
UBS AG
Type 4: advising on securities
30 Aug 2019 - 06 Sep 2019
No
AH0444
UBS AG
Type 1: dealing in securities
08 Apr 2019 - 12 Apr 2019
No
AH0444
UBS AG
Type 4: advising on securities
08 Apr 2019 - 12 Apr 2019
No
AH0444
UBS AG
Type 1: dealing in securities
17 Sep 2018 - 21 Sep 2018
No
AH0444
UBS AG
Type 4: advising on securities
17 Sep 2018 - 21 Sep 2018
No
AH0444
UBS AG
Type 1: dealing in securities
20 Jun 2018 - 27 Jun 2018
No
AH0444
UBS AG
Type 4: advising on securities
20 Jun 2018 - 27 Jun 2018
No
AH0444
UBS AG
Type 1: dealing in securities
16 Apr 2018 - 20 Apr 2018
No
AH0444
UBS AG
Type 4: advising on securities
16 Apr 2018 - 20 Apr 2018
No
AH0444
UBS AG
Type 1: dealing in securities
25 Sep 2017 - 29 Sep 2017
No
AH0444
UBS AG
Type 4: advising on securities
25 Sep 2017 - 29 Sep 2017
No
AH0444
UBS AG
Type 1: dealing in securities
04 May 2017 - 10 May 2017
No
AH0444
UBS AG
Type 4: advising on securities
04 May 2017 - 10 May 2017
No
AH0444
UBS AG
Type 1: dealing in securities
07 Sep 2016 - 09 Sep 2016
No
AH0444
UBS AG
Type 4: advising on securities
07 Sep 2016 - 09 Sep 2016
No
AH0444
UBS AG
Type 1: dealing in securities
25 Jan 2016 - 26 Jan 2016
No
AH0444
UBS AG
Type 4: advising on securities
25 Jan 2016 - 26 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.