Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NAKAMURA, ZENJI
Chinese Name of Relevant Individual
HKMA Registration Number
AG6547
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
22 Mar 2016 - 24 Mar 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
22 Mar 2016 - 24 Mar 2016
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 Mar 2016 - 24 Mar 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
03 Feb 2016 - 05 Feb 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
03 Feb 2016 - 05 Feb 2016
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 Feb 2016 - 05 Feb 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
18 Nov 2015 - 20 Nov 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
18 Nov 2015 - 20 Nov 2015
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
18 Nov 2015 - 20 Nov 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
11 Mar 2015 - 12 Mar 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
11 Mar 2015 - 12 Mar 2015
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
11 Mar 2015 - 12 Mar 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
16 Feb 2015 - 28 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
16 Feb 2015 - 28 Feb 2015
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
16 Feb 2015 - 28 Feb 2015
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
NAKAMURA, ZENJI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6547
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6547
UBS AG
Type 1: dealing in securities
22 Mar 2016 - 24 Mar 2016
No
AG6547
UBS AG
Type 4: advising on securities
22 Mar 2016 - 24 Mar 2016
No
AG6547
UBS AG
Type 6: advising on corporate finance
22 Mar 2016 - 24 Mar 2016
No
AG6547
UBS AG
Type 1: dealing in securities
03 Feb 2016 - 05 Feb 2016
No
AG6547
UBS AG
Type 4: advising on securities
03 Feb 2016 - 05 Feb 2016
No
AG6547
UBS AG
Type 6: advising on corporate finance
03 Feb 2016 - 05 Feb 2016
No
AG6547
UBS AG
Type 1: dealing in securities
18 Nov 2015 - 20 Nov 2015
No
AG6547
UBS AG
Type 4: advising on securities
18 Nov 2015 - 20 Nov 2015
No
AG6547
UBS AG
Type 6: advising on corporate finance
18 Nov 2015 - 20 Nov 2015
No
AG6547
UBS AG
Type 1: dealing in securities
11 Mar 2015 - 12 Mar 2015
No
AG6547
UBS AG
Type 4: advising on securities
11 Mar 2015 - 12 Mar 2015
No
AG6547
UBS AG
Type 6: advising on corporate finance
11 Mar 2015 - 12 Mar 2015
No
AG6547
UBS AG
Type 1: dealing in securities
16 Feb 2015 - 28 Feb 2015
No
AG6547
UBS AG
Type 4: advising on securities
16 Feb 2015 - 28 Feb 2015
No
AG6547
UBS AG
Type 6: advising on corporate finance
16 Feb 2015 - 28 Feb 2015
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.