Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROSE, JEFFREY BENNETT
Chinese Name of Relevant Individual
HKMA Registration Number
AI0683
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
04 Oct 2019 - 07 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
04 Oct 2019 - 07 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
04 Oct 2019 - 07 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
27 Mar 2019 - 29 Mar 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
27 Mar 2019 - 29 Mar 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
27 Mar 2019 - 29 Mar 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
29 Jan 2019 - 01 Feb 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
29 Jan 2019 - 01 Feb 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
29 Jan 2019 - 01 Feb 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
ROSE, JEFFREY BENNETT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI0683
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0683
UBS AG
Type 1: dealing in securities
04 Oct 2019 - 07 Oct 2019
No
AI0683
UBS AG
Type 4: advising on securities
04 Oct 2019 - 07 Oct 2019
No
AI0683
UBS AG
Type 6: advising on corporate finance
04 Oct 2019 - 07 Oct 2019
No
AI0683
UBS AG
Type 1: dealing in securities
27 Mar 2019 - 29 Mar 2019
No
AI0683
UBS AG
Type 4: advising on securities
27 Mar 2019 - 29 Mar 2019
No
AI0683
UBS AG
Type 6: advising on corporate finance
27 Mar 2019 - 29 Mar 2019
No
AI0683
UBS AG
Type 1: dealing in securities
29 Jan 2019 - 01 Feb 2019
No
AI0683
UBS AG
Type 4: advising on securities
29 Jan 2019 - 01 Feb 2019
No
AI0683
UBS AG
Type 6: advising on corporate finance
29 Jan 2019 - 01 Feb 2019
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.