Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SWEETMAN, ANTHONY JOHN
Chinese Name of Relevant Individual
HKMA Registration Number
AG7315
Other HKMA Registration Number(s)
AE6427
Current Registration
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
26 Nov 2025
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
26 Nov 2025
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
26 Nov 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 26 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Nov 2025
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
Since 26 Nov 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2025 - 24 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2025 - 24 Oct 2025
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
20 Oct 2025 - 24 Oct 2025
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 Aug 2025 - 10 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2025 - 10 Sep 2025
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
29 Aug 2025 - 10 Sep 2025
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 May 2025 - 31 May 2025
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 May 2025 - 31 May 2025
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
26 May 2025 - 31 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Aug 2024 - 28 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Aug 2024 - 28 Aug 2024
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
23 Aug 2024 - 28 Aug 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 39
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
SWEETMAN, ANTHONY JOHN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG7315
:
Other HKMA Registration Number(s)
AE6427
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
26 Nov 2025
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
26 Nov 2025
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
26 Nov 2025
No
INV. BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7315
UBS AG
Type 1: dealing in securities
Since 26 Nov 2025
No
AG7315
UBS AG
Type 4: advising on securities
Since 26 Nov 2025
No
AG7315
UBS AG
Type 6: advising on corporate finance
Since 26 Nov 2025
No
AG7315
UBS AG
Type 1: dealing in securities
20 Oct 2025 - 24 Oct 2025
No
AG7315
UBS AG
Type 4: advising on securities
20 Oct 2025 - 24 Oct 2025
No
AG7315
UBS AG
Type 6: advising on corporate finance
20 Oct 2025 - 24 Oct 2025
No
AG7315
UBS AG
Type 1: dealing in securities
29 Aug 2025 - 10 Sep 2025
No
AG7315
UBS AG
Type 4: advising on securities
29 Aug 2025 - 10 Sep 2025
No
AG7315
UBS AG
Type 6: advising on corporate finance
29 Aug 2025 - 10 Sep 2025
No
AG7315
UBS AG
Type 1: dealing in securities
26 May 2025 - 31 May 2025
No
AG7315
UBS AG
Type 4: advising on securities
26 May 2025 - 31 May 2025
No
AG7315
UBS AG
Type 6: advising on corporate finance
26 May 2025 - 31 May 2025
No
AG7315
UBS AG
Type 1: dealing in securities
23 Aug 2024 - 28 Aug 2024
No
AG7315
UBS AG
Type 4: advising on securities
23 Aug 2024 - 28 Aug 2024
No
AG7315
UBS AG
Type 6: advising on corporate finance
23 Aug 2024 - 28 Aug 2024
No
AG7315
UBS AG
Type 1: dealing in securities
29 May 2023 - 30 May 2023
No
AG7315
UBS AG
Type 4: advising on securities
29 May 2023 - 30 May 2023
No
AG7315
UBS AG
Type 6: advising on corporate finance
29 May 2023 - 30 May 2023
No
AG7315
UBS AG
Type 1: dealing in securities
04 Dec 2019 - 06 Dec 2019
No
AG7315
UBS AG
Type 4: advising on securities
04 Dec 2019 - 06 Dec 2019
No
AG7315
UBS AG
Type 6: advising on corporate finance
04 Dec 2019 - 06 Dec 2019
No
AG7315
UBS AG
Type 1: dealing in securities
17 Sep 2019 - 18 Sep 2019
No
AG7315
UBS AG
Type 4: advising on securities
17 Sep 2019 - 18 Sep 2019
No
AG7315
UBS AG
Type 6: advising on corporate finance
17 Sep 2019 - 18 Sep 2019
No
AG7315
UBS AG
Type 1: dealing in securities
05 Oct 2016 - 21 Feb 2017
No
AG7315
UBS AG
Type 4: advising on securities
05 Oct 2016 - 21 Feb 2017
No
AG7315
UBS AG
Type 6: advising on corporate finance
05 Oct 2016 - 21 Feb 2017
No
AG7315
UBS AG
Type 1: dealing in securities
15 Mar 2016 - 16 Mar 2016
No
AG7315
UBS AG
Type 4: advising on securities
15 Mar 2016 - 16 Mar 2016
No
AG7315
UBS AG
Type 6: advising on corporate finance
15 Mar 2016 - 16 Mar 2016
No
AG7315
UBS AG
Type 1: dealing in securities
24 Sep 2015 - 25 Sep 2015
No
AG7315
UBS AG
Type 4: advising on securities
24 Sep 2015 - 25 Sep 2015
No
AG7315
UBS AG
Type 6: advising on corporate finance
24 Sep 2015 - 25 Sep 2015
No
AG7315
UBS AG
Type 1: dealing in securities
20 Apr 2015 - 27 Apr 2015
No
AG7315
UBS AG
Type 4: advising on securities
20 Apr 2015 - 27 Apr 2015
No
AG7315
UBS AG
Type 6: advising on corporate finance
20 Apr 2015 - 27 Apr 2015
No
AE6427
UBS AG
Type 1: dealing in securities
14 May 2010 - 16 May 2010
No
AE6427
UBS AG
Type 4: advising on securities
14 May 2010 - 16 May 2010
No
AE6427
UBS AG
Type 6: advising on corporate finance
14 May 2010 - 16 May 2010
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.