Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WATANABE, TATSUYA
Chinese Name of Relevant Individual
HKMA Registration Number
AF9289
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
10 Jan 2019 - 14 Jan 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
10 Jan 2019 - 14 Jan 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
10 Jan 2019 - 14 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2018 - 20 Nov 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
16 Nov 2018 - 20 Nov 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
16 Nov 2018 - 20 Nov 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
24 Aug 2018 - 29 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
24 Aug 2018 - 29 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
24 Aug 2018 - 29 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 Jan 2018 - 31 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
29 Jan 2018 - 31 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
29 Jan 2018 - 31 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
24 Feb 2017 - 28 Feb 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
24 Feb 2017 - 28 Feb 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
24 Feb 2017 - 28 Feb 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 27
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
WATANABE, TATSUYA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9289
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9289
UBS AG
Type 1: dealing in securities
10 Jan 2019 - 14 Jan 2019
No
AF9289
UBS AG
Type 4: advising on securities
10 Jan 2019 - 14 Jan 2019
No
AF9289
UBS AG
Type 6: advising on corporate finance
10 Jan 2019 - 14 Jan 2019
No
AF9289
UBS AG
Type 1: dealing in securities
16 Nov 2018 - 20 Nov 2018
No
AF9289
UBS AG
Type 4: advising on securities
16 Nov 2018 - 20 Nov 2018
No
AF9289
UBS AG
Type 6: advising on corporate finance
16 Nov 2018 - 20 Nov 2018
No
AF9289
UBS AG
Type 1: dealing in securities
24 Aug 2018 - 29 Aug 2018
No
AF9289
UBS AG
Type 4: advising on securities
24 Aug 2018 - 29 Aug 2018
No
AF9289
UBS AG
Type 6: advising on corporate finance
24 Aug 2018 - 29 Aug 2018
No
AF9289
UBS AG
Type 1: dealing in securities
29 Jan 2018 - 31 Jan 2018
No
AF9289
UBS AG
Type 4: advising on securities
29 Jan 2018 - 31 Jan 2018
No
AF9289
UBS AG
Type 6: advising on corporate finance
29 Jan 2018 - 31 Jan 2018
No
AF9289
UBS AG
Type 1: dealing in securities
24 Feb 2017 - 28 Feb 2017
No
AF9289
UBS AG
Type 4: advising on securities
24 Feb 2017 - 28 Feb 2017
No
AF9289
UBS AG
Type 6: advising on corporate finance
24 Feb 2017 - 28 Feb 2017
No
AF9289
UBS AG
Type 1: dealing in securities
05 Oct 2016 - 08 Oct 2016
No
AF9289
UBS AG
Type 4: advising on securities
05 Oct 2016 - 08 Oct 2016
No
AF9289
UBS AG
Type 6: advising on corporate finance
05 Oct 2016 - 08 Oct 2016
No
AF9289
UBS AG
Type 1: dealing in securities
09 Sep 2015 - 10 Sep 2015
No
AF9289
UBS AG
Type 4: advising on securities
09 Sep 2015 - 10 Sep 2015
No
AF9289
UBS AG
Type 6: advising on corporate finance
09 Sep 2015 - 10 Sep 2015
No
AF9289
UBS AG
Type 1: dealing in securities
04 May 2015 - 05 May 2015
No
AF9289
UBS AG
Type 4: advising on securities
04 May 2015 - 05 May 2015
No
AF9289
UBS AG
Type 6: advising on corporate finance
04 May 2015 - 05 May 2015
No
AF9289
UBS AG
Type 1: dealing in securities
19 Mar 2013 - 23 Nov 2014
No
AF9289
UBS AG
Type 4: advising on securities
19 Mar 2013 - 23 Nov 2014
No
AF9289
UBS AG
Type 6: advising on corporate finance
19 Mar 2013 - 23 Nov 2014
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.