Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KATO, SOTA
Chinese Name of Relevant Individual
HKMA Registration Number
AG2408
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
03 Feb 2015 - 28 Aug 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 2015 - 28 Aug 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
03 Feb 2015 - 28 Aug 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
07 Jan 2015 - 11 Jan 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
07 Jan 2015 - 11 Jan 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
07 Jan 2015 - 11 Jan 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
31 Jan 2014 - 19 Nov 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
31 Jan 2014 - 19 Nov 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
31 Jan 2014 - 19 Nov 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
KATO, SOTA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG2408
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG2408
UBS AG
Type 1: dealing in securities
03 Feb 2015 - 28 Aug 2017
No
AG2408
UBS AG
Type 4: advising on securities
03 Feb 2015 - 28 Aug 2017
No
AG2408
UBS AG
Type 6: advising on corporate finance
03 Feb 2015 - 28 Aug 2017
No
AG2408
UBS AG
Type 1: dealing in securities
07 Jan 2015 - 11 Jan 2015
No
AG2408
UBS AG
Type 4: advising on securities
07 Jan 2015 - 11 Jan 2015
No
AG2408
UBS AG
Type 6: advising on corporate finance
07 Jan 2015 - 11 Jan 2015
No
AG2408
UBS AG
Type 1: dealing in securities
31 Jan 2014 - 19 Nov 2014
No
AG2408
UBS AG
Type 4: advising on securities
31 Jan 2014 - 19 Nov 2014
No
AG2408
UBS AG
Type 6: advising on corporate finance
31 Jan 2014 - 19 Nov 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.