Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FAVA, JAMES
Chinese Name of Relevant Individual
HKMA Registration Number
AG5232
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 9: asset management
Effective Period
13 Aug 2021 - 01 Sep 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2014 - 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Oct 2014 - 01 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
24 Oct 2014 - 12 Aug 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
FAVA, JAMES
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5232
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5232
UBS AG
Type 9: asset management
13 Aug 2021 - 01 Sep 2022
Yes
AG5232
UBS AG
Type 1: dealing in securities
24 Oct 2014 - 01 Sep 2022
No
AG5232
UBS AG
Type 4: advising on securities
24 Oct 2014 - 01 Sep 2022
No
AG5232
UBS AG
Type 9: asset management
24 Oct 2014 - 12 Aug 2021
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.