Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAKRABORTY, JOYDEEP
Chinese Name of Relevant Individual
HKMA Registration Number
AG9757
Other HKMA Registration Number(s)
AD6491
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
22 May 2026 - 29 May 2026
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 May 2026 - 29 May 2026
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 May 2026 - 29 May 2026
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 Nov 2025 - 11 Dec 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
10 Nov 2025 - 11 Dec 2025
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
10 Nov 2025 - 11 Dec 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
22 Sep 2017 - 10 May 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
22 Sep 2017 - 10 May 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
22 Sep 2017 - 10 May 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
01 Jun 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
01 Jun 2017
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
01 Jun 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
21 Apr 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
21 Apr 2017
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
21 Apr 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 44
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
CHAKRABORTY, JOYDEEP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9757
:
Other HKMA Registration Number(s)
AD6491
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9757
UBS AG
Type 1: dealing in securities
22 May 2026 - 29 May 2026
No
AG9757
UBS AG
Type 4: advising on securities
22 May 2026 - 29 May 2026
No
AG9757
UBS AG
Type 6: advising on corporate finance
22 May 2026 - 29 May 2026
No
AG9757
UBS AG
Type 1: dealing in securities
10 Nov 2025 - 11 Dec 2025
No
AG9757
UBS AG
Type 4: advising on securities
10 Nov 2025 - 11 Dec 2025
No
AG9757
UBS AG
Type 6: advising on corporate finance
10 Nov 2025 - 11 Dec 2025
No
AG9757
UBS AG
Type 1: dealing in securities
22 Sep 2017 - 10 May 2019
No
AG9757
UBS AG
Type 4: advising on securities
22 Sep 2017 - 10 May 2019
No
AG9757
UBS AG
Type 6: advising on corporate finance
22 Sep 2017 - 10 May 2019
No
AG9757
UBS AG
Type 1: dealing in securities
01 Jun 2017
No
AG9757
UBS AG
Type 4: advising on securities
01 Jun 2017
No
AG9757
UBS AG
Type 6: advising on corporate finance
01 Jun 2017
No
AG9757
UBS AG
Type 1: dealing in securities
21 Apr 2017
No
AG9757
UBS AG
Type 4: advising on securities
21 Apr 2017
No
AG9757
UBS AG
Type 6: advising on corporate finance
21 Apr 2017
No
AG9757
UBS AG
Type 1: dealing in securities
30 Mar 2017 - 07 Apr 2017
No
AG9757
UBS AG
Type 4: advising on securities
30 Mar 2017 - 07 Apr 2017
No
AG9757
UBS AG
Type 6: advising on corporate finance
30 Mar 2017 - 07 Apr 2017
No
AG9757
UBS AG
Type 1: dealing in securities
07 Mar 2017 - 10 Mar 2017
No
AG9757
UBS AG
Type 4: advising on securities
07 Mar 2017 - 10 Mar 2017
No
AG9757
UBS AG
Type 6: advising on corporate finance
07 Mar 2017 - 10 Mar 2017
No
AG9757
UBS AG
Type 1: dealing in securities
20 Jan 2017 - 25 Jan 2017
No
AG9757
UBS AG
Type 4: advising on securities
20 Jan 2017 - 25 Jan 2017
No
AG9757
UBS AG
Type 6: advising on corporate finance
20 Jan 2017 - 25 Jan 2017
No
AG9757
UBS AG
Type 1: dealing in securities
22 Nov 2016 - 27 Nov 2016
No
AG9757
UBS AG
Type 4: advising on securities
22 Nov 2016 - 27 Nov 2016
No
AG9757
UBS AG
Type 6: advising on corporate finance
22 Nov 2016 - 27 Nov 2016
No
AG9757
UBS AG
Type 1: dealing in securities
19 Sep 2016 - 21 Sep 2016
No
AG9757
UBS AG
Type 4: advising on securities
19 Sep 2016 - 21 Sep 2016
No
AG9757
UBS AG
Type 6: advising on corporate finance
19 Sep 2016 - 21 Sep 2016
No
AG9757
UBS AG
Type 1: dealing in securities
27 Jul 2016 - 29 Jul 2016
No
AG9757
UBS AG
Type 4: advising on securities
27 Jul 2016 - 29 Jul 2016
No
AG9757
UBS AG
Type 6: advising on corporate finance
27 Jul 2016 - 29 Jul 2016
No
AG9757
UBS AG
Type 1: dealing in securities
05 Jul 2016 - 15 Jul 2016
No
AG9757
UBS AG
Type 4: advising on securities
05 Jul 2016 - 15 Jul 2016
No
AG9757
UBS AG
Type 6: advising on corporate finance
05 Jul 2016 - 15 Jul 2016
No
AG9757
UBS AG
Type 1: dealing in securities
14 Dec 2015 - 19 Dec 2015
No
AG9757
UBS AG
Type 4: advising on securities
14 Dec 2015 - 19 Dec 2015
No
AG9757
UBS AG
Type 6: advising on corporate finance
14 Dec 2015 - 19 Dec 2015
No
AG9757
UBS AG
Type 1: dealing in securities
16 Nov 2015 - 17 Nov 2015
No
AG9757
UBS AG
Type 4: advising on securities
16 Nov 2015 - 17 Nov 2015
No
AG9757
UBS AG
Type 6: advising on corporate finance
16 Nov 2015 - 17 Nov 2015
No
AD6491
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
16 Nov 2007 - 30 Jun 2010
No
AD6491
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
16 Nov 2007 - 30 Jun 2010
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.