Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CRUZ MARCO, LAIA
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5454
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
20 Dec 2024 - 19 Sep 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
20 Dec 2024 - 19 Sep 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
20 Dec 2024 - 19 Sep 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
08 Nov 2024 - 11 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
08 Nov 2024 - 11 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
08 Nov 2024 - 11 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
30 Sep 2024 - 02 Oct 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
30 Sep 2024 - 02 Oct 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
30 Sep 2024 - 02 Oct 2024
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
CRUZ MARCO, LAIA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5454
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5454
UBS AG
Type 1: dealing in securities
20 Dec 2024 - 19 Sep 2025
No
AJ5454
UBS AG
Type 4: advising on securities
20 Dec 2024 - 19 Sep 2025
No
AJ5454
UBS AG
Type 6: advising on corporate finance
20 Dec 2024 - 19 Sep 2025
No
AJ5454
UBS AG
Type 1: dealing in securities
08 Nov 2024 - 11 Nov 2024
No
AJ5454
UBS AG
Type 4: advising on securities
08 Nov 2024 - 11 Nov 2024
No
AJ5454
UBS AG
Type 6: advising on corporate finance
08 Nov 2024 - 11 Nov 2024
No
AJ5454
UBS AG
Type 1: dealing in securities
30 Sep 2024 - 02 Oct 2024
No
AJ5454
UBS AG
Type 4: advising on securities
30 Sep 2024 - 02 Oct 2024
No
AJ5454
UBS AG
Type 6: advising on corporate finance
30 Sep 2024 - 02 Oct 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.