Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DROUIN, PHILIPPE
Chinese Name of Relevant Individual
HKMA Registration Number
AH1696
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
14 Feb 2018 - 07 Dec 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
14 Feb 2018 - 07 Dec 2023
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 Feb 2018 - 07 Dec 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 Jan 2018 - 02 Feb 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
30 Jan 2018 - 02 Feb 2018
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
30 Jan 2018 - 02 Feb 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
19 Jan 2018 - 23 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
19 Jan 2018 - 23 Jan 2018
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
19 Jan 2018 - 23 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
05 Jan 2018 - 11 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
05 Jan 2018 - 11 Jan 2018
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
05 Jan 2018 - 11 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
24 Nov 2017 - 01 Dec 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
24 Nov 2017 - 01 Dec 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
24 Nov 2017 - 01 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
DROUIN, PHILIPPE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1696
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1696
UBS AG
Type 1: dealing in securities
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 4: advising on securities
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 6: advising on corporate finance
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 1: dealing in securities
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 4: advising on securities
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 1: dealing in securities
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 4: advising on securities
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 1: dealing in securities
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 4: advising on securities
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 1: dealing in securities
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 4: advising on securities
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 6: advising on corporate finance
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 1: dealing in securities
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 4: advising on securities
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 6: advising on corporate finance
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 1: dealing in securities
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 4: advising on securities
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 6: advising on corporate finance
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 1: dealing in securities
02 Jun 2016 - 03 Jun 2016
No
AH1696
UBS AG
Type 4: advising on securities
02 Jun 2016 - 03 Jun 2016
No
AH1696
UBS AG
Type 6: advising on corporate finance
02 Jun 2016 - 03 Jun 2016
No
AH1696
UBS AG
Type 1: dealing in securities
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 4: advising on securities
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 6: advising on corporate finance
14 Feb 2018 - 07 Dec 2023
No
AH1696
UBS AG
Type 1: dealing in securities
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 4: advising on securities
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
30 Jan 2018 - 02 Feb 2018
No
AH1696
UBS AG
Type 1: dealing in securities
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 4: advising on securities
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
19 Jan 2018 - 23 Jan 2018
No
AH1696
UBS AG
Type 1: dealing in securities
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 4: advising on securities
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 6: advising on corporate finance
05 Jan 2018 - 11 Jan 2018
No
AH1696
UBS AG
Type 1: dealing in securities
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 4: advising on securities
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 6: advising on corporate finance
24 Nov 2017 - 01 Dec 2017
No
AH1696
UBS AG
Type 1: dealing in securities
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 4: advising on securities
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 6: advising on corporate finance
08 Feb 2017 - 09 Feb 2017
No
AH1696
UBS AG
Type 1: dealing in securities
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 4: advising on securities
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 6: advising on corporate finance
20 Sep 2016 - 22 Sep 2016
No
AH1696
UBS AG
Type 1: dealing in securities
02 Jun 2016 - 03 Jun 2016
No
AH1696
UBS AG
Type 4: advising on securities
02 Jun 2016 - 03 Jun 2016
No
AH1696
UBS AG
Type 6: advising on corporate finance
02 Jun 2016 - 03 Jun 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.