Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ALVAREZ POSADILLA, CARLOS
Chinese Name of Relevant Individual
HKMA Registration Number
AI3010
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 Jan 2026 - 15 Jan 2026
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 Jan 2026 - 15 Jan 2026
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 Jan 2026 - 15 Jan 2026
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 Oct 2019 - 18 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
11 Oct 2019 - 18 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
11 Oct 2019 - 18 Oct 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
ALVAREZ POSADILLA, CARLOS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI3010
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3010
UBS AG
Type 1: dealing in securities
14 Jan 2026 - 15 Jan 2026
No
AI3010
UBS AG
Type 4: advising on securities
14 Jan 2026 - 15 Jan 2026
No
AI3010
UBS AG
Type 6: advising on corporate finance
14 Jan 2026 - 15 Jan 2026
No
AI3010
UBS AG
Type 1: dealing in securities
11 Oct 2019 - 18 Oct 2019
No
AI3010
UBS AG
Type 4: advising on securities
11 Oct 2019 - 18 Oct 2019
No
AI3010
UBS AG
Type 6: advising on corporate finance
11 Oct 2019 - 18 Oct 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.