Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PURCELL, JAMES MATTHEW
Chinese Name of Relevant Individual
HKMA Registration Number
AG9402
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
25 May 2017 - 31 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2017 - 31 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2015 - 06 Jul 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
17 Oct 2015 - 06 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
PURCELL, JAMES MATTHEW
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9402
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9402
UBS AG
Type 1: dealing in securities
25 May 2017 - 31 May 2017
No
AG9402
UBS AG
Type 4: advising on securities
25 May 2017 - 31 May 2017
No
AG9402
UBS AG
Type 1: dealing in securities
17 Oct 2015 - 06 Jul 2016
No
AG9402
UBS AG
Type 4: advising on securities
17 Oct 2015 - 06 Jul 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.