Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SEWELL, JAMES PERCY GEOFFREY
Chinese Name of Relevant Individual
HKMA Registration Number
AF8020
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
19 Dec 2017 - 20 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2017 - 20 Dec 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2012 - 18 Dec 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
03 Nov 2012 - 18 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
SEWELL, JAMES PERCY GEOFFREY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8020
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8020
UBS AG
Type 1: dealing in securities
19 Dec 2017 - 20 Dec 2019
Yes
AF8020
UBS AG
Type 4: advising on securities
19 Dec 2017 - 20 Dec 2019
Yes
AF8020
UBS AG
Type 1: dealing in securities
03 Nov 2012 - 18 Dec 2017
No
AF8020
UBS AG
Type 4: advising on securities
03 Nov 2012 - 18 Dec 2017
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.