Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
KUMAR, SAWAN
Chinese Name of Relevant Individual

HKMA Registration Number
AG6939
Other HKMA Registration Number(s)
AE3313
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Mar 2015
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Mar 2015
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
19 Mar 2015
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
KUMAR, SAWAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6939
:
Other HKMA Registration Number(s)
AE3313
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
19 Mar 2015
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
19 Mar 2015
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
19 Mar 2015
No
INV. BANKING TEAM LEADER