Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MCCARTNEY, GARETH JONATHAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG4147
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
26 May 2026 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 May 2026 - 29 May 2026
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
26 May 2026 - 29 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2026 - 04 Mar 2026
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 2026 - 04 Mar 2026
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
27 Feb 2026 - 04 Mar 2026
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 Jun 2025 - 02 Jul 2025
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 Jun 2025 - 02 Jul 2025
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
30 Jun 2025 - 02 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2025 - 28 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2025 - 28 May 2025
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
23 May 2025 - 28 May 2025
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 Jan 2025 - 14 Jan 2025
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 Jan 2025 - 14 Jan 2025
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 Jan 2025 - 14 Jan 2025
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
MCCARTNEY, GARETH JONATHAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4147
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4147
UBS AG
Type 1: dealing in securities
26 May 2026 - 29 May 2026
No
AG4147
UBS AG
Type 4: advising on securities
26 May 2026 - 29 May 2026
No
AG4147
UBS AG
Type 6: advising on corporate finance
26 May 2026 - 29 May 2026
No
AG4147
UBS AG
Type 1: dealing in securities
27 Feb 2026 - 04 Mar 2026
No
AG4147
UBS AG
Type 4: advising on securities
27 Feb 2026 - 04 Mar 2026
No
AG4147
UBS AG
Type 6: advising on corporate finance
27 Feb 2026 - 04 Mar 2026
No
AG4147
UBS AG
Type 1: dealing in securities
30 Jun 2025 - 02 Jul 2025
No
AG4147
UBS AG
Type 4: advising on securities
30 Jun 2025 - 02 Jul 2025
No
AG4147
UBS AG
Type 6: advising on corporate finance
30 Jun 2025 - 02 Jul 2025
No
AG4147
UBS AG
Type 1: dealing in securities
23 May 2025 - 28 May 2025
No
AG4147
UBS AG
Type 4: advising on securities
23 May 2025 - 28 May 2025
No
AG4147
UBS AG
Type 6: advising on corporate finance
23 May 2025 - 28 May 2025
No
AG4147
UBS AG
Type 1: dealing in securities
10 Jan 2025 - 14 Jan 2025
No
AG4147
UBS AG
Type 4: advising on securities
10 Jan 2025 - 14 Jan 2025
No
AG4147
UBS AG
Type 6: advising on corporate finance
10 Jan 2025 - 14 Jan 2025
No
AG4147
UBS AG
Type 1: dealing in securities
20 Sep 2024 - 24 Sep 2024
No
AG4147
UBS AG
Type 4: advising on securities
20 Sep 2024 - 24 Sep 2024
No
AG4147
UBS AG
Type 6: advising on corporate finance
20 Sep 2024 - 24 Sep 2024
No
AG4147
UBS AG
Type 1: dealing in securities
24 May 2024 - 29 May 2024
No
AG4147
UBS AG
Type 4: advising on securities
24 May 2024 - 29 May 2024
No
AG4147
UBS AG
Type 6: advising on corporate finance
24 May 2024 - 29 May 2024
No
AG4147
UBS AG
Type 1: dealing in securities
17 Feb 2023 - 22 Feb 2023
No
AG4147
UBS AG
Type 4: advising on securities
17 Feb 2023 - 22 Feb 2023
No
AG4147
UBS AG
Type 6: advising on corporate finance
17 Feb 2023 - 22 Feb 2023
No
AG4147
UBS AG
Type 1: dealing in securities
29 Oct 2015 - 31 Oct 2015
No
AG4147
UBS AG
Type 4: advising on securities
29 Oct 2015 - 31 Oct 2015
No
AG4147
UBS AG
Type 6: advising on corporate finance
29 Oct 2015 - 31 Oct 2015
No
AG4147
UBS AG
Type 1: dealing in securities
22 Jul 2014 - 23 Jul 2014
No
AG4147
UBS AG
Type 4: advising on securities
22 Jul 2014 - 23 Jul 2014
No
AG4147
UBS AG
Type 6: advising on corporate finance
22 Jul 2014 - 23 Jul 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.