Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
OTA, TOMOYUKI
Chinese Name of Relevant Individual
HKMA Registration Number
AF8446
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
18 Dec 2012 - 04 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2012 - 04 Aug 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
18 Dec 2012 - 04 Aug 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
OTA, TOMOYUKI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8446
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8446
UBS AG
Type 1: dealing in securities
18 Dec 2012 - 04 Aug 2013
No
AF8446
UBS AG
Type 4: advising on securities
18 Dec 2012 - 04 Aug 2013
No
AF8446
UBS AG
Type 6: advising on corporate finance
18 Dec 2012 - 04 Aug 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.