Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WADHWANI, DHEERAJ CHATRU
Chinese Name of Relevant Individual
HKMA Registration Number
AG5375
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
12 Jan 2015 - 27 Feb 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
12 Jan 2015 - 27 Feb 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
04 Nov 2014 - 10 Dec 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
04 Nov 2014 - 10 Dec 2014
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
WADHWANI, DHEERAJ CHATRU
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG5375
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5375
UBS AG
Type 1: dealing in securities
12 Jan 2015 - 27 Feb 2015
No
AG5375
UBS AG
Type 4: advising on securities
12 Jan 2015 - 27 Feb 2015
No
AG5375
UBS AG
Type 1: dealing in securities
04 Nov 2014 - 10 Dec 2014
No
AG5375
UBS AG
Type 4: advising on securities
04 Nov 2014 - 10 Dec 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.