Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
COLOM-SAMPOL, CHARLES-HENRY LUC
Chinese Name of Relevant Individual
HKMA Registration Number
AI1051
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
11 Nov 2025 - 13 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Nov 2025 - 13 Nov 2025
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
11 Nov 2025 - 13 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2025 - 14 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Mar 2025 - 14 Mar 2025
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
11 Mar 2025 - 14 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2024 - 12 Sep 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
09 Sep 2024 - 12 Sep 2024
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
09 Sep 2024 - 12 Sep 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
09 Jun 2023 - 13 Jun 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
09 Jun 2023 - 13 Jun 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
09 Jun 2023 - 13 Jun 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
12 Mar 2019 - 16 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
12 Mar 2019 - 16 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
12 Mar 2019 - 16 Mar 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
COLOM-SAMPOL, CHARLES-HENRY LUC
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI1051
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1051
UBS AG
Type 1: dealing in securities
11 Nov 2025 - 13 Nov 2025
No
AI1051
UBS AG
Type 4: advising on securities
11 Nov 2025 - 13 Nov 2025
No
AI1051
UBS AG
Type 6: advising on corporate finance
11 Nov 2025 - 13 Nov 2025
No
AI1051
UBS AG
Type 1: dealing in securities
11 Mar 2025 - 14 Mar 2025
No
AI1051
UBS AG
Type 4: advising on securities
11 Mar 2025 - 14 Mar 2025
No
AI1051
UBS AG
Type 6: advising on corporate finance
11 Mar 2025 - 14 Mar 2025
No
AI1051
UBS AG
Type 1: dealing in securities
09 Sep 2024 - 12 Sep 2024
No
AI1051
UBS AG
Type 4: advising on securities
09 Sep 2024 - 12 Sep 2024
No
AI1051
UBS AG
Type 6: advising on corporate finance
09 Sep 2024 - 12 Sep 2024
No
AI1051
UBS AG
Type 1: dealing in securities
09 Jun 2023 - 13 Jun 2023
No
AI1051
UBS AG
Type 4: advising on securities
09 Jun 2023 - 13 Jun 2023
No
AI1051
UBS AG
Type 6: advising on corporate finance
09 Jun 2023 - 13 Jun 2023
No
AI1051
UBS AG
Type 1: dealing in securities
12 Mar 2019 - 16 Mar 2019
No
AI1051
UBS AG
Type 4: advising on securities
12 Mar 2019 - 16 Mar 2019
No
AI1051
UBS AG
Type 6: advising on corporate finance
12 Mar 2019 - 16 Mar 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.