Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GROB, PATRICK
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5699
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MANAGER TRADING & SALES
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR MANAGER TRADING & SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 25 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
Since 25 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 Sep 2025 - 17 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
08 Feb 2025 - 22 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
08 Feb 2025 - 22 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
08 Feb 2025 - 22 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
01 Nov 2024 - 06 Nov 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
GROB, PATRICK
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5699
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
25 Sep 2025
No
SENIOR MANAGER TRADING & SALES
UBS AG
Type 4: advising on securities
25 Sep 2025
No
SENIOR MANAGER TRADING & SALES
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5699
UBS AG
Type 1: dealing in securities
Since 25 Sep 2025
No
AJ5699
UBS AG
Type 4: advising on securities
Since 25 Sep 2025
No
AJ5699
UBS AG
Type 7: providing automated trading services
25 Sep 2025 - 17 Nov 2025
No
AJ5699
UBS AG
Type 1: dealing in securities
08 Feb 2025 - 22 Sep 2025
No
AJ5699
UBS AG
Type 4: advising on securities
08 Feb 2025 - 22 Sep 2025
No
AJ5699
UBS AG
Type 7: providing automated trading services
08 Feb 2025 - 22 Sep 2025
No
AJ5699
UBS AG
Type 1: dealing in securities
01 Nov 2024 - 06 Nov 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.