BAJA, LAURO III CASTRO

HKMA AG7046HKMA Relevant IndividualCurrently registeredExecutive Officer

BAJA, LAURO III CASTRO (HKMA registration number AG7046) 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 1 authorized institution over time.

Current Registration (3)

Registered Institution	Regulated Activity	Exec. Officer	Capacity	First engaged
UBS AG	RA 1 Type 1: dealing in securities	Yes	SENIOR MANAGER INVESTMENT BANKING	2020-12-22
UBS AG	RA 4 Type 4: advising on securities	Yes	SENIOR MANAGER INVESTMENT BANKING	2020-12-22
UBS AG	RA 6 Type 6: advising on corporate finance	Yes	SENIOR MANAGER INVESTMENT BANKING	2020-12-22

Business Address

Registered Institution	SFC CE No.	Address
UBS AG	AEP554	52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution UBS AG Effective Date 20 May 2025 --> Description --> For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance. 2 Registered Institution UBS AG Effective Date 20 May 2025 --> Description --> For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.

Registration History (4)

2025-05-20 – present Current

UBS AG Executive Officer

RA 1 RA 4 RA 6

2020-12-22 – 2025-05-19

UBS AG

RA 1 RA 4 RA 6

2015-03-25 – 2020-11-18

UBS AG

RA 1 RA 4 RA 6

2009-09-12 – 2015-03-24

UBS AG

RA 1 RA 4 RA 6

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/AG7046