Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ZHOU, HAOTE
Chinese Name of Relevant Individual
周浩特
HKMA Registration Number
AJ3256
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
03 Oct 2023 - 09 Aug 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
03 Oct 2023 - 09 Aug 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
03 Oct 2023 - 09 Aug 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
ZHOU, HAOTE
:
Chinese Name of Relevant Individual
周浩特
:
HKMA Registration Number
AJ3256
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3256
UBS AG
Type 1: dealing in securities
03 Oct 2023 - 09 Aug 2024
No
AJ3256
UBS AG
Type 4: advising on securities
03 Oct 2023 - 09 Aug 2024
No
AJ3256
UBS AG
Type 6: advising on corporate finance
03 Oct 2023 - 09 Aug 2024
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.