Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHELFFO, JANINE MC GRATH
Chinese Name of Relevant Individual
HKMA Registration Number
AF4521
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
30 Dec 2016 - 06 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Dec 2016 - 06 Jan 2017
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
30 Dec 2016 - 06 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Jan 2012 - 13 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Jan 2012 - 13 Apr 2016
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
19 Jan 2012 - 13 Apr 2016
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
SHELFFO, JANINE MC GRATH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF4521
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4521
UBS AG
Type 1: dealing in securities
30 Dec 2016 - 06 Jan 2017
No
AF4521
UBS AG
Type 4: advising on securities
30 Dec 2016 - 06 Jan 2017
No
AF4521
UBS AG
Type 6: advising on corporate finance
30 Dec 2016 - 06 Jan 2017
No
AF4521
UBS AG
Type 1: dealing in securities
19 Jan 2012 - 13 Apr 2016
No
AF4521
UBS AG
Type 4: advising on securities
19 Jan 2012 - 13 Apr 2016
No
AF4521
UBS AG
Type 6: advising on corporate finance
19 Jan 2012 - 13 Apr 2016
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.