Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
OKI, MAKOTO
Chinese Name of Relevant Individual
HKMA Registration Number
AF9547
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
11 Mar 2015 - 12 Mar 2015
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 Mar 2015 - 12 Mar 2015
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 Mar 2015 - 12 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Feb 2015 - 18 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Feb 2015 - 18 Feb 2015
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
17 Feb 2015 - 18 Feb 2015
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 Apr 2013 - 02 Jun 2014
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 Apr 2013 - 02 Jun 2014
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 Apr 2013 - 02 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
OKI, MAKOTO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9547
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9547
UBS AG
Type 1: dealing in securities
11 Mar 2015 - 12 Mar 2015
No
AF9547
UBS AG
Type 4: advising on securities
11 Mar 2015 - 12 Mar 2015
No
AF9547
UBS AG
Type 6: advising on corporate finance
11 Mar 2015 - 12 Mar 2015
No
AF9547
UBS AG
Type 1: dealing in securities
17 Feb 2015 - 18 Feb 2015
No
AF9547
UBS AG
Type 4: advising on securities
17 Feb 2015 - 18 Feb 2015
No
AF9547
UBS AG
Type 6: advising on corporate finance
17 Feb 2015 - 18 Feb 2015
No
AF9547
UBS AG
Type 1: dealing in securities
19 Apr 2013 - 02 Jun 2014
No
AF9547
UBS AG
Type 4: advising on securities
19 Apr 2013 - 02 Jun 2014
No
AF9547
UBS AG
Type 6: advising on corporate finance
19 Apr 2013 - 02 Jun 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.