Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ARORA, ROHIT
Chinese Name of Relevant Individual
HKMA Registration Number
AG0212
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 4: advising on securities
Effective Period
29 Jun 2018 - 06 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
20 Jan 2018 - 26 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
20 Nov 2017 - 01 Dec 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
25 Jul 2017 - 31 Jul 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
03 Feb 2017 - 15 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jul 2015 - 10 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
11 Feb 2015 - 13 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jul 2013 - 04 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
ARORA, ROHIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0212
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0212
UBS AG
Type 4: advising on securities
29 Jun 2018 - 06 Jul 2018
No
AG0212
UBS AG
Type 4: advising on securities
20 Jan 2018 - 26 Jan 2018
No
AG0212
UBS AG
Type 4: advising on securities
20 Nov 2017 - 01 Dec 2017
No
AG0212
UBS AG
Type 4: advising on securities
25 Jul 2017 - 31 Jul 2017
No
AG0212
UBS AG
Type 4: advising on securities
03 Feb 2017 - 15 Feb 2017
No
AG0212
BARCLAYS BANK PLC
Type 4: advising on securities
08 Jul 2015 - 10 Jul 2015
No
AG0212
BARCLAYS BANK PLC
Type 4: advising on securities
11 Feb 2015 - 13 Feb 2015
No
AG0212
BARCLAYS BANK PLC
Type 4: advising on securities
02 Jul 2013 - 04 Jul 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.