Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROSENTHAL, JASON DAVID
Chinese Name of Relevant Individual
HKMA Registration Number
AG0470
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
27 Feb 2017 - 03 Mar 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
27 Feb 2017 - 03 Mar 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2013 - 06 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
30 Oct 2013 - 06 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
29 Jul 2013 - 25 Oct 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
29 Jul 2013 - 25 Oct 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
ROSENTHAL, JASON DAVID
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0470
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0470
UBS AG
Type 1: dealing in securities
27 Feb 2017 - 03 Mar 2017
No
AG0470
UBS AG
Type 4: advising on securities
27 Feb 2017 - 03 Mar 2017
No
AG0470
UBS AG
Type 1: dealing in securities
30 Oct 2013 - 06 Nov 2013
No
AG0470
UBS AG
Type 4: advising on securities
30 Oct 2013 - 06 Nov 2013
No
AG0470
UBS AG
Type 1: dealing in securities
29 Jul 2013 - 25 Oct 2013
No
AG0470
UBS AG
Type 4: advising on securities
29 Jul 2013 - 25 Oct 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.