Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SAKU, YASUNORI
Chinese Name of Relevant Individual
HKMA Registration Number
AF8337
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE ADVISOR
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE ADVISOR
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
22 Aug 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CORPORATE ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 22 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Aug 2018
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
Since 22 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2018 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2018 - 04 Jul 2018
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
29 Jun 2018 - 04 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2018 - 27 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2018 - 27 Mar 2018
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
22 Mar 2018 - 27 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2018 - 15 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jan 2018 - 15 Jan 2018
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
11 Jan 2018 - 15 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2017 - 13 Nov 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
09 Nov 2017 - 13 Nov 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
09 Nov 2017 - 13 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
SAKU, YASUNORI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8337
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
22 Aug 2018
No
CORPORATE ADVISOR
UBS AG
Type 4: advising on securities
22 Aug 2018
No
CORPORATE ADVISOR
UBS AG
Type 6: advising on corporate finance
22 Aug 2018
No
CORPORATE ADVISOR
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8337
UBS AG
Type 1: dealing in securities
Since 22 Aug 2018
No
AF8337
UBS AG
Type 4: advising on securities
Since 22 Aug 2018
No
AF8337
UBS AG
Type 6: advising on corporate finance
Since 22 Aug 2018
No
AF8337
UBS AG
Type 1: dealing in securities
29 Jun 2018 - 04 Jul 2018
No
AF8337
UBS AG
Type 4: advising on securities
29 Jun 2018 - 04 Jul 2018
No
AF8337
UBS AG
Type 6: advising on corporate finance
29 Jun 2018 - 04 Jul 2018
No
AF8337
UBS AG
Type 1: dealing in securities
22 Mar 2018 - 27 Mar 2018
No
AF8337
UBS AG
Type 4: advising on securities
22 Mar 2018 - 27 Mar 2018
No
AF8337
UBS AG
Type 6: advising on corporate finance
22 Mar 2018 - 27 Mar 2018
No
AF8337
UBS AG
Type 1: dealing in securities
11 Jan 2018 - 15 Jan 2018
No
AF8337
UBS AG
Type 4: advising on securities
11 Jan 2018 - 15 Jan 2018
No
AF8337
UBS AG
Type 6: advising on corporate finance
11 Jan 2018 - 15 Jan 2018
No
AF8337
UBS AG
Type 1: dealing in securities
09 Nov 2017 - 13 Nov 2017
No
AF8337
UBS AG
Type 4: advising on securities
09 Nov 2017 - 13 Nov 2017
No
AF8337
UBS AG
Type 6: advising on corporate finance
09 Nov 2017 - 13 Nov 2017
No
AF8337
UBS AG
Type 1: dealing in securities
12 Sep 2017 - 20 Sep 2017
No
AF8337
UBS AG
Type 4: advising on securities
12 Sep 2017 - 20 Sep 2017
No
AF8337
UBS AG
Type 6: advising on corporate finance
12 Sep 2017 - 20 Sep 2017
No
AF8337
UBS AG
Type 1: dealing in securities
25 Jun 2017 - 26 Jun 2017
No
AF8337
UBS AG
Type 4: advising on securities
25 Jun 2017 - 26 Jun 2017
No
AF8337
UBS AG
Type 6: advising on corporate finance
25 Jun 2017 - 26 Jun 2017
No
AF8337
UBS AG
Type 1: dealing in securities
04 Dec 2012 - 07 Mar 2017
No
AF8337
UBS AG
Type 4: advising on securities
04 Dec 2012 - 07 Mar 2017
No
AF8337
UBS AG
Type 6: advising on corporate finance
04 Dec 2012 - 07 Mar 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.