Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SARKAR, PRASHANT
Chinese Name of Relevant Individual
HKMA Registration Number
AH3308
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
13 Mar 2019 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Mar 2019 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Mar 2019 - 26 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2016 - 12 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2016 - 19 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
SARKAR, PRASHANT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH3308
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3308
UBS AG
Type 1: dealing in securities
13 Mar 2019 - 26 Nov 2020
No
AH3308
UBS AG
Type 4: advising on securities
13 Mar 2019 - 26 Nov 2020
No
AH3308
UBS AG
Type 7: providing automated trading services
13 Mar 2019 - 26 Nov 2020
No
AH3308
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Dec 2016 - 12 Dec 2018
No
AH3308
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 Nov 2016 - 19 Dec 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.