Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GANTORI, SUNDEEP
Chinese Name of Relevant Individual
HKMA Registration Number
AG5283
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
06 Jan 2020 - 10 Jan 2020
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 Jan 2020 - 10 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Oct 2019 - 29 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
24 Oct 2019 - 29 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
08 Jan 2019 - 11 Jan 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
08 Jan 2019 - 11 Jan 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
12 Sep 2018 - 19 Sep 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
12 Sep 2018 - 19 Sep 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
09 Jan 2018 - 12 Jan 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
09 Jan 2018 - 12 Jan 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
21 Sep 2017 - 27 Sep 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
21 Sep 2017 - 27 Sep 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
26 Sep 2016 - 28 Sep 2016
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 Sep 2016 - 28 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2014 - 30 Oct 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
GANTORI, SUNDEEP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5283
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5283
UBS AG
Type 1: dealing in securities
06 Jan 2020 - 10 Jan 2020
No
AG5283
UBS AG
Type 4: advising on securities
06 Jan 2020 - 10 Jan 2020
No
AG5283
UBS AG
Type 1: dealing in securities
24 Oct 2019 - 29 Oct 2019
No
AG5283
UBS AG
Type 4: advising on securities
24 Oct 2019 - 29 Oct 2019
No
AG5283
UBS AG
Type 1: dealing in securities
08 Jan 2019 - 11 Jan 2019
No
AG5283
UBS AG
Type 4: advising on securities
08 Jan 2019 - 11 Jan 2019
No
AG5283
UBS AG
Type 1: dealing in securities
12 Sep 2018 - 19 Sep 2018
No
AG5283
UBS AG
Type 4: advising on securities
12 Sep 2018 - 19 Sep 2018
No
AG5283
UBS AG
Type 1: dealing in securities
09 Jan 2018 - 12 Jan 2018
No
AG5283
UBS AG
Type 4: advising on securities
09 Jan 2018 - 12 Jan 2018
No
AG5283
UBS AG
Type 1: dealing in securities
21 Sep 2017 - 27 Sep 2017
No
AG5283
UBS AG
Type 4: advising on securities
21 Sep 2017 - 27 Sep 2017
No
AG5283
UBS AG
Type 1: dealing in securities
26 Sep 2016 - 28 Sep 2016
No
AG5283
UBS AG
Type 4: advising on securities
26 Sep 2016 - 28 Sep 2016
No
AG5283
UBS AG
Type 1: dealing in securities
29 Oct 2014 - 30 Oct 2014
No
AG5283
UBS AG
Type 4: advising on securities
29 Oct 2014 - 30 Oct 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.