Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MUKHOPADHYAY, AJINKYA
Chinese Name of Relevant Individual
HKMA Registration Number
AC0036
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
27 Nov 2019 - 03 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2019 - 03 Sep 2021
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
27 Nov 2019 - 03 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2019 - 08 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Oct 2019 - 08 Nov 2019
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
25 Oct 2019 - 08 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 27 Jan 2013
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
09 Jun 2003 - 27 Jan 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
MUKHOPADHYAY, AJINKYA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC0036
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0036
UBS AG
Type 1: dealing in securities
27 Nov 2019 - 03 Sep 2021
No
AC0036
UBS AG
Type 4: advising on securities
27 Nov 2019 - 03 Sep 2021
No
AC0036
UBS AG
Type 6: advising on corporate finance
27 Nov 2019 - 03 Sep 2021
No
AC0036
UBS AG
Type 1: dealing in securities
25 Oct 2019 - 08 Nov 2019
No
AC0036
UBS AG
Type 4: advising on securities
25 Oct 2019 - 08 Nov 2019
No
AC0036
UBS AG
Type 6: advising on corporate finance
25 Oct 2019 - 08 Nov 2019
No
AC0036
UBS AG
Type 4: advising on securities
09 Jun 2003 - 27 Jan 2013
No
AC0036
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 27 Jan 2013
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.