Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PRUSTY, SMITALEE
Chinese Name of Relevant Individual
HKMA Registration Number
AG9198
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
28 Jan 2025 - 04 Feb 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
28 Jan 2025 - 04 Feb 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 Feb 2024 - 26 Feb 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 Feb 2024 - 26 Feb 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
15 Oct 2019 - 17 Oct 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
15 Oct 2019 - 17 Oct 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
09 Nov 2018 - 15 Nov 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
09 Nov 2018 - 15 Nov 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
05 Oct 2018 - 09 Oct 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
05 Oct 2018 - 09 Oct 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
03 May 2016 - 05 May 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
03 May 2016 - 05 May 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
05 Oct 2015 - 07 Oct 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
05 Oct 2015 - 07 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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
PRUSTY, SMITALEE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9198
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9198
UBS AG
Type 1: dealing in securities
28 Jan 2025 - 04 Feb 2025
No
AG9198
UBS AG
Type 4: advising on securities
28 Jan 2025 - 04 Feb 2025
No
AG9198
UBS AG
Type 1: dealing in securities
23 Feb 2024 - 26 Feb 2024
No
AG9198
UBS AG
Type 4: advising on securities
23 Feb 2024 - 26 Feb 2024
No
AG9198
UBS AG
Type 1: dealing in securities
15 Oct 2019 - 17 Oct 2019
No
AG9198
UBS AG
Type 4: advising on securities
15 Oct 2019 - 17 Oct 2019
No
AG9198
UBS AG
Type 1: dealing in securities
09 Nov 2018 - 15 Nov 2018
No
AG9198
UBS AG
Type 4: advising on securities
09 Nov 2018 - 15 Nov 2018
No
AG9198
UBS AG
Type 1: dealing in securities
05 Oct 2018 - 09 Oct 2018
No
AG9198
UBS AG
Type 4: advising on securities
05 Oct 2018 - 09 Oct 2018
No
AG9198
UBS AG
Type 1: dealing in securities
03 May 2016 - 05 May 2016
No
AG9198
UBS AG
Type 4: advising on securities
03 May 2016 - 05 May 2016
No
AG9198
UBS AG
Type 1: dealing in securities
05 Oct 2015 - 07 Oct 2015
No
AG9198
UBS AG
Type 4: advising on securities
05 Oct 2015 - 07 Oct 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.