Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PATHANGE, SAAWAN JAYAPRAKASH
Chinese Name of Relevant Individual
HKMA Registration Number
AH1615
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
07 May 2018 - 10 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
07 May 2018 - 10 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
07 May 2018 - 10 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
12 Dec 2017 - 15 Dec 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
12 Dec 2017 - 15 Dec 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
12 Dec 2017 - 15 Dec 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
05 May 2017 - 09 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
05 May 2017 - 09 May 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
05 May 2017 - 09 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
25 Nov 2016 - 29 Nov 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
25 Nov 2016 - 29 Nov 2016
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
25 Nov 2016 - 29 Nov 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
22 May 2016 - 23 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
22 May 2016 - 23 May 2016
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 2016 - 23 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
PATHANGE, SAAWAN JAYAPRAKASH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1615
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1615
UBS AG
Type 1: dealing in securities
07 May 2018 - 10 May 2018
No
AH1615
UBS AG
Type 4: advising on securities
07 May 2018 - 10 May 2018
No
AH1615
UBS AG
Type 6: advising on corporate finance
07 May 2018 - 10 May 2018
No
AH1615
UBS AG
Type 1: dealing in securities
12 Dec 2017 - 15 Dec 2017
No
AH1615
UBS AG
Type 4: advising on securities
12 Dec 2017 - 15 Dec 2017
No
AH1615
UBS AG
Type 6: advising on corporate finance
12 Dec 2017 - 15 Dec 2017
No
AH1615
UBS AG
Type 1: dealing in securities
05 May 2017 - 09 May 2017
No
AH1615
UBS AG
Type 4: advising on securities
05 May 2017 - 09 May 2017
No
AH1615
UBS AG
Type 6: advising on corporate finance
05 May 2017 - 09 May 2017
No
AH1615
UBS AG
Type 1: dealing in securities
25 Nov 2016 - 29 Nov 2016
No
AH1615
UBS AG
Type 4: advising on securities
25 Nov 2016 - 29 Nov 2016
No
AH1615
UBS AG
Type 6: advising on corporate finance
25 Nov 2016 - 29 Nov 2016
No
AH1615
UBS AG
Type 1: dealing in securities
22 May 2016 - 23 May 2016
No
AH1615
UBS AG
Type 4: advising on securities
22 May 2016 - 23 May 2016
No
AH1615
UBS AG
Type 6: advising on corporate finance
22 May 2016 - 23 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.