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
AG7330
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
15 Oct 2016 - 14 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
15 Oct 2016 - 14 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
25 Dec 2015 - 16 Jun 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
21 Apr 2015 - 16 Jun 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
21 Apr 2015 - 16 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
AG7330
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7330
UBS AG
Type 1: dealing in securities
15 Oct 2016 - 14 Jan 2020
No
AG7330
UBS AG
Type 4: advising on securities
15 Oct 2016 - 14 Jan 2020
No
AG7330
UBS AG
Type 9: asset management
25 Dec 2015 - 16 Jun 2016
No
AG7330
UBS AG
Type 1: dealing in securities
21 Apr 2015 - 16 Jun 2016
No
AG7330
UBS AG
Type 4: advising on securities
21 Apr 2015 - 16 Jun 2016
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.