Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NISHIWAKI, JUNYA
Chinese Name of Relevant Individual
HKMA Registration Number
AG9059
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
03 Dec 2024 - 07 Dec 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
03 Dec 2024 - 07 Dec 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
03 Dec 2024 - 07 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Dec 2019 - 07 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Dec 2019 - 07 Dec 2019
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
04 Dec 2019 - 07 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2016 - 24 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Dec 2016 - 24 May 2018
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
08 Dec 2016 - 24 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2015 - 26 Sep 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
22 Sep 2015 - 26 Sep 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
22 Sep 2015 - 26 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
NISHIWAKI, JUNYA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9059
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9059
UBS AG
Type 1: dealing in securities
03 Dec 2024 - 07 Dec 2024
No
AG9059
UBS AG
Type 4: advising on securities
03 Dec 2024 - 07 Dec 2024
No
AG9059
UBS AG
Type 6: advising on corporate finance
03 Dec 2024 - 07 Dec 2024
No
AG9059
UBS AG
Type 1: dealing in securities
04 Dec 2019 - 07 Dec 2019
No
AG9059
UBS AG
Type 4: advising on securities
04 Dec 2019 - 07 Dec 2019
No
AG9059
UBS AG
Type 6: advising on corporate finance
04 Dec 2019 - 07 Dec 2019
No
AG9059
UBS AG
Type 1: dealing in securities
08 Dec 2016 - 24 May 2018
No
AG9059
UBS AG
Type 4: advising on securities
08 Dec 2016 - 24 May 2018
No
AG9059
UBS AG
Type 6: advising on corporate finance
08 Dec 2016 - 24 May 2018
No
AG9059
UBS AG
Type 1: dealing in securities
22 Sep 2015 - 26 Sep 2015
No
AG9059
UBS AG
Type 4: advising on securities
22 Sep 2015 - 26 Sep 2015
No
AG9059
UBS AG
Type 6: advising on corporate finance
22 Sep 2015 - 26 Sep 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.