Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HARA, SHUNTARO
Chinese Name of Relevant Individual
HKMA Registration Number
AG1670
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
15 Feb 2019 - 20 Feb 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
15 Feb 2019 - 20 Feb 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
15 Feb 2019 - 20 Feb 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
18 Oct 2018 - 24 Oct 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
18 Oct 2018 - 24 Oct 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
18 Oct 2018 - 24 Oct 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
28 Aug 2018 - 31 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
28 Aug 2018 - 31 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
28 Aug 2018 - 31 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
06 Apr 2018 - 12 Apr 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
06 Apr 2018 - 12 Apr 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
06 Apr 2018 - 12 Apr 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
10 Nov 2017 - 14 Nov 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
10 Nov 2017 - 14 Nov 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
10 Nov 2017 - 14 Nov 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 30
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
HARA, SHUNTARO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1670
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1670
UBS AG
Type 1: dealing in securities
15 Feb 2019 - 20 Feb 2019
No
AG1670
UBS AG
Type 4: advising on securities
15 Feb 2019 - 20 Feb 2019
No
AG1670
UBS AG
Type 6: advising on corporate finance
15 Feb 2019 - 20 Feb 2019
No
AG1670
UBS AG
Type 1: dealing in securities
18 Oct 2018 - 24 Oct 2018
No
AG1670
UBS AG
Type 4: advising on securities
18 Oct 2018 - 24 Oct 2018
No
AG1670
UBS AG
Type 6: advising on corporate finance
18 Oct 2018 - 24 Oct 2018
No
AG1670
UBS AG
Type 1: dealing in securities
28 Aug 2018 - 31 Aug 2018
No
AG1670
UBS AG
Type 4: advising on securities
28 Aug 2018 - 31 Aug 2018
No
AG1670
UBS AG
Type 6: advising on corporate finance
28 Aug 2018 - 31 Aug 2018
No
AG1670
UBS AG
Type 1: dealing in securities
06 Apr 2018 - 12 Apr 2018
No
AG1670
UBS AG
Type 4: advising on securities
06 Apr 2018 - 12 Apr 2018
No
AG1670
UBS AG
Type 6: advising on corporate finance
06 Apr 2018 - 12 Apr 2018
No
AG1670
UBS AG
Type 1: dealing in securities
10 Nov 2017 - 14 Nov 2017
No
AG1670
UBS AG
Type 4: advising on securities
10 Nov 2017 - 14 Nov 2017
No
AG1670
UBS AG
Type 6: advising on corporate finance
10 Nov 2017 - 14 Nov 2017
No
AG1670
UBS AG
Type 1: dealing in securities
01 Jun 2017 - 08 Jun 2017
No
AG1670
UBS AG
Type 4: advising on securities
01 Jun 2017 - 08 Jun 2017
No
AG1670
UBS AG
Type 6: advising on corporate finance
01 Jun 2017 - 08 Jun 2017
No
AG1670
UBS AG
Type 1: dealing in securities
17 Nov 2015 - 19 Nov 2015
No
AG1670
UBS AG
Type 4: advising on securities
17 Nov 2015 - 19 Nov 2015
No
AG1670
UBS AG
Type 6: advising on corporate finance
17 Nov 2015 - 19 Nov 2015
No
AG1670
UBS AG
Type 1: dealing in securities
11 Mar 2015 - 12 Mar 2015
No
AG1670
UBS AG
Type 4: advising on securities
11 Mar 2015 - 12 Mar 2015
No
AG1670
UBS AG
Type 6: advising on corporate finance
11 Mar 2015 - 12 Mar 2015
No
AG1670
UBS AG
Type 1: dealing in securities
17 Feb 2015 - 18 Feb 2015
No
AG1670
UBS AG
Type 4: advising on securities
17 Feb 2015 - 18 Feb 2015
No
AG1670
UBS AG
Type 6: advising on corporate finance
17 Feb 2015 - 18 Feb 2015
No
AG1670
UBS AG
Type 1: dealing in securities
14 Nov 2013 - 03 Jun 2014
No
AG1670
UBS AG
Type 4: advising on securities
14 Nov 2013 - 03 Jun 2014
No
AG1670
UBS AG
Type 6: advising on corporate finance
14 Nov 2013 - 03 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.