Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SEN, SAURAV
Chinese Name of Relevant Individual
HKMA Registration Number
AG8495
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
20 Oct 2018 - 12 Mar 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
20 Oct 2018 - 12 Mar 2020
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 2018 - 12 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2015 - 13 Aug 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
10 Aug 2015 - 13 Aug 2015
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
SEN, SAURAV
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG8495
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8495
UBS AG
Type 1: dealing in securities
20 Oct 2018 - 12 Mar 2020
No
AG8495
UBS AG
Type 4: advising on securities
20 Oct 2018 - 12 Mar 2020
No
AG8495
UBS AG
Type 6: advising on corporate finance
20 Oct 2018 - 12 Mar 2020
No
AG8495
UBS AG
Type 1: dealing in securities
10 Aug 2015 - 13 Aug 2015
No
AG8495
UBS AG
Type 4: advising on securities
10 Aug 2015 - 13 Aug 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.