Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AULER FILHO, JOAO RICARDO
Chinese Name of Relevant Individual
HKMA Registration Number
AJ7293
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
28 Oct 2025 - 01 Nov 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
28 Oct 2025 - 01 Nov 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
28 Oct 2025 - 01 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
15 Jul 2025 - 19 Jul 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
15 Jul 2025 - 19 Jul 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
15 Jul 2025 - 19 Jul 2025
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
AULER FILHO, JOAO RICARDO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ7293
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ7293
UBS AG
Type 1: dealing in securities
28 Oct 2025 - 01 Nov 2025
No
AJ7293
UBS AG
Type 4: advising on securities
28 Oct 2025 - 01 Nov 2025
No
AJ7293
UBS AG
Type 6: advising on corporate finance
28 Oct 2025 - 01 Nov 2025
No
AJ7293
UBS AG
Type 1: dealing in securities
15 Jul 2025 - 19 Jul 2025
No
AJ7293
UBS AG
Type 4: advising on securities
15 Jul 2025 - 19 Jul 2025
No
AJ7293
UBS AG
Type 6: advising on corporate finance
15 Jul 2025 - 19 Jul 2025
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.