Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BALCH, ROBERT OWEN DOUGLAS
Chinese Name of Relevant Individual
HKMA Registration Number
AH3584
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
06 Dec 2017 - 08 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
06 Dec 2017 - 08 Dec 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
12 Jan 2017 - 17 Jan 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
12 Jan 2017 - 17 Jan 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
BALCH, ROBERT OWEN DOUGLAS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3584
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3584
UBS AG
Type 1: dealing in securities
06 Dec 2017 - 08 Dec 2017
No
AH3584
UBS AG
Type 4: advising on securities
06 Dec 2017 - 08 Dec 2017
No
AH3584
UBS AG
Type 1: dealing in securities
12 Jan 2017 - 17 Jan 2017
No
AH3584
UBS AG
Type 4: advising on securities
12 Jan 2017 - 17 Jan 2017
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.