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SPIELHOFER, PHILIPPE MARC

HKMA AF1114HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

SPIELHOFER, PHILIPPE MARC (HKMA registration number AF1114) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at UBS AG. Has been engaged at 2 authorized institutions over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
UBS AGRA 1 Type 1: dealing in securitiesYesSENIOR MANAGER WM2011-05-07
UBS AGRA 4 Type 4: advising on securitiesYesSENIOR MANAGER WM2011-05-07
UBS AGRA 9 Type 9: asset managementYesSENIOR MANAGER WM2021-07-28

Business Address

Registered InstitutionSFC CE No.Address
UBS AGAEP55452/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution UBS AG Effective Date 09 Feb 2022 --> Description --> For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person.

Registration History (6)

2022-02-09 – present Current
UBS AG Executive Officer
RA 9
2021-08-11 – present Current
UBS AG Executive Officer
RA 1 RA 4
2023-12-07 – 2024-05-31
CREDIT SUISSE AG Executive Officer
RA 1 RA 4
2021-07-28 – 2022-02-08
UBS AG
RA 9
2011-05-07 – 2021-08-10
UBS AG
RA 1 RA 4
2011-05-07 – 2015-08-17
UBS AG
RA 6 RA 9

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AF1114