Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FERRARI, SARA
Chinese Name of Relevant Individual
HKMA Registration Number
AH1265
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 May 2019 - 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
03 May 2019 - 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
04 Jan 2019 - 13 Jan 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 Jan 2019 - 13 Jan 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
05 Jan 2018 - 12 Jan 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 Jan 2018 - 12 Jan 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
19 Oct 2017 - 27 Oct 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
19 Oct 2017 - 27 Oct 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
28 Apr 2017 - 05 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
28 Apr 2017 - 05 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
16 Apr 2016 - 11 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
16 Apr 2016 - 11 May 2016
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
FERRARI, SARA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1265
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1265
UBS AG
Type 1: dealing in securities
03 May 2019 - 10 May 2019
No
AH1265
UBS AG
Type 4: advising on securities
03 May 2019 - 10 May 2019
No
AH1265
UBS AG
Type 1: dealing in securities
04 Jan 2019 - 13 Jan 2019
No
AH1265
UBS AG
Type 4: advising on securities
04 Jan 2019 - 13 Jan 2019
No
AH1265
UBS AG
Type 1: dealing in securities
05 Jan 2018 - 12 Jan 2018
No
AH1265
UBS AG
Type 4: advising on securities
05 Jan 2018 - 12 Jan 2018
No
AH1265
UBS AG
Type 1: dealing in securities
19 Oct 2017 - 27 Oct 2017
No
AH1265
UBS AG
Type 4: advising on securities
19 Oct 2017 - 27 Oct 2017
No
AH1265
UBS AG
Type 1: dealing in securities
28 Apr 2017 - 05 May 2017
No
AH1265
UBS AG
Type 4: advising on securities
28 Apr 2017 - 05 May 2017
No
AH1265
UBS AG
Type 1: dealing in securities
16 Apr 2016 - 11 May 2016
No
AH1265
UBS AG
Type 4: advising on securities
16 Apr 2016 - 11 May 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.