Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PLESER, STEFFEN
Chinese Name of Relevant Individual
HKMA Registration Number
AI3500
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
23 Jan 2026 - 28 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
23 Jan 2026 - 28 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
23 Jan 2026 - 28 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
06 Jun 2025 - 12 Jun 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
06 Jun 2025 - 12 Jun 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
06 Jun 2025 - 12 Jun 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
04 Mar 2025 - 06 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
04 Mar 2025 - 06 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
04 Mar 2025 - 06 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
22 Nov 2024 - 26 Nov 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
22 Nov 2024 - 26 Nov 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
22 Nov 2024 - 26 Nov 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
05 Jul 2024 - 09 Jul 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
05 Jul 2024 - 09 Jul 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
05 Jul 2024 - 09 Jul 2024
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
PLESER, STEFFEN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI3500
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3500
UBS AG
Type 1: dealing in securities
23 Jan 2026 - 28 Jan 2026
No
AI3500
UBS AG
Type 4: advising on securities
23 Jan 2026 - 28 Jan 2026
No
AI3500
UBS AG
Type 6: advising on corporate finance
23 Jan 2026 - 28 Jan 2026
No
AI3500
UBS AG
Type 1: dealing in securities
06 Jun 2025 - 12 Jun 2025
No
AI3500
UBS AG
Type 4: advising on securities
06 Jun 2025 - 12 Jun 2025
No
AI3500
UBS AG
Type 6: advising on corporate finance
06 Jun 2025 - 12 Jun 2025
No
AI3500
UBS AG
Type 1: dealing in securities
04 Mar 2025 - 06 Mar 2025
No
AI3500
UBS AG
Type 4: advising on securities
04 Mar 2025 - 06 Mar 2025
No
AI3500
UBS AG
Type 6: advising on corporate finance
04 Mar 2025 - 06 Mar 2025
No
AI3500
UBS AG
Type 1: dealing in securities
22 Nov 2024 - 26 Nov 2024
No
AI3500
UBS AG
Type 4: advising on securities
22 Nov 2024 - 26 Nov 2024
No
AI3500
UBS AG
Type 6: advising on corporate finance
22 Nov 2024 - 26 Nov 2024
No
AI3500
UBS AG
Type 1: dealing in securities
05 Jul 2024 - 09 Jul 2024
No
AI3500
UBS AG
Type 4: advising on securities
05 Jul 2024 - 09 Jul 2024
No
AI3500
UBS AG
Type 6: advising on corporate finance
05 Jul 2024 - 09 Jul 2024
No
AI3500
UBS AG
Type 1: dealing in securities
22 Mar 2024 - 26 Mar 2024
No
AI3500
UBS AG
Type 4: advising on securities
22 Mar 2024 - 26 Mar 2024
No
AI3500
UBS AG
Type 6: advising on corporate finance
22 Mar 2024 - 26 Mar 2024
No
AI3500
UBS AG
Type 1: dealing in securities
09 Jun 2023 - 13 Jun 2023
No
AI3500
UBS AG
Type 4: advising on securities
09 Jun 2023 - 13 Jun 2023
No
AI3500
UBS AG
Type 6: advising on corporate finance
09 Jun 2023 - 13 Jun 2023
No
AI3500
UBS AG
Type 1: dealing in securities
11 Dec 2019 - 13 Dec 2019
No
AI3500
UBS AG
Type 4: advising on securities
11 Dec 2019 - 13 Dec 2019
No
AI3500
UBS AG
Type 6: advising on corporate finance
11 Dec 2019 - 13 Dec 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.