Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUGIMOTO, AKIO
Chinese Name of Relevant Individual
HKMA Registration Number
AF9597
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
25 Nov 2013 - 31 Dec 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
25 Nov 2013 - 31 Dec 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
25 Nov 2013 - 31 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2013 - 20 Nov 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
21 Aug 2013 - 20 Nov 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
21 Aug 2013 - 20 Nov 2013
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 Apr 2013 - 15 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
24 Apr 2013 - 15 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
24 Apr 2013 - 15 Aug 2013
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
SUGIMOTO, AKIO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF9597
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9597
UBS AG
Type 1: dealing in securities
25 Nov 2013 - 31 Dec 2013
No
AF9597
UBS AG
Type 4: advising on securities
25 Nov 2013 - 31 Dec 2013
No
AF9597
UBS AG
Type 6: advising on corporate finance
25 Nov 2013 - 31 Dec 2013
No
AF9597
UBS AG
Type 1: dealing in securities
21 Aug 2013 - 20 Nov 2013
No
AF9597
UBS AG
Type 4: advising on securities
21 Aug 2013 - 20 Nov 2013
No
AF9597
UBS AG
Type 6: advising on corporate finance
21 Aug 2013 - 20 Nov 2013
No
AF9597
UBS AG
Type 1: dealing in securities
24 Apr 2013 - 15 Aug 2013
No
AF9597
UBS AG
Type 4: advising on securities
24 Apr 2013 - 15 Aug 2013
No
AF9597
UBS AG
Type 6: advising on corporate finance
24 Apr 2013 - 15 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.