Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHARKEY, BARRY WILLIAM
Chinese Name of Relevant Individual
HKMA Registration Number
AG3365
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
14 Oct 2019 - 15 Oct 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
14 Oct 2019 - 15 Oct 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
14 Oct 2019 - 15 Oct 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
19 Feb 2019 - 22 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
19 Feb 2019 - 22 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
19 Feb 2019 - 22 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
22 Nov 2018 - 27 Nov 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
22 Nov 2018 - 27 Nov 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
22 Nov 2018 - 27 Nov 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
03 May 2018 - 04 May 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
03 May 2018 - 04 May 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
03 May 2018 - 04 May 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
13 May 2014 - 20 Feb 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
13 May 2014 - 20 Feb 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
13 May 2014 - 20 Feb 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
SHARKEY, BARRY WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3365
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3365
UBS AG
Type 1: dealing in securities
14 Oct 2019 - 15 Oct 2019
No
AG3365
UBS AG
Type 4: advising on securities
14 Oct 2019 - 15 Oct 2019
No
AG3365
UBS AG
Type 6: advising on corporate finance
14 Oct 2019 - 15 Oct 2019
No
AG3365
UBS AG
Type 1: dealing in securities
19 Feb 2019 - 22 Feb 2019
No
AG3365
UBS AG
Type 4: advising on securities
19 Feb 2019 - 22 Feb 2019
No
AG3365
UBS AG
Type 6: advising on corporate finance
19 Feb 2019 - 22 Feb 2019
No
AG3365
UBS AG
Type 1: dealing in securities
22 Nov 2018 - 27 Nov 2018
No
AG3365
UBS AG
Type 4: advising on securities
22 Nov 2018 - 27 Nov 2018
No
AG3365
UBS AG
Type 6: advising on corporate finance
22 Nov 2018 - 27 Nov 2018
No
AG3365
UBS AG
Type 1: dealing in securities
03 May 2018 - 04 May 2018
No
AG3365
UBS AG
Type 4: advising on securities
03 May 2018 - 04 May 2018
No
AG3365
UBS AG
Type 6: advising on corporate finance
03 May 2018 - 04 May 2018
No
AG3365
UBS AG
Type 1: dealing in securities
13 May 2014 - 20 Feb 2017
No
AG3365
UBS AG
Type 4: advising on securities
13 May 2014 - 20 Feb 2017
No
AG3365
UBS AG
Type 6: advising on corporate finance
13 May 2014 - 20 Feb 2017
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.