Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHIMIZU, YASUNORI
Chinese Name of Relevant Individual
HKMA Registration Number
AH4146
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 Jan 2026 - 17 Jan 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
03 Oct 2025 - 12 Oct 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
04 Mar 2025 - 07 Mar 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
08 Nov 2024 - 15 Nov 2024
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 Jun 2024 - 29 Jun 2024
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 Dec 2023 - 13 Dec 2023
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 2022 - 16 Dec 2022
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 Sep 2017 - 05 Apr 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
10 Mar 2017 - 18 Mar 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
SHIMIZU, YASUNORI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4146
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4146
UBS AG
Type 1: dealing in securities
13 Jan 2026 - 17 Jan 2026
No
AH4146
UBS AG
Type 1: dealing in securities
03 Oct 2025 - 12 Oct 2025
No
AH4146
UBS AG
Type 1: dealing in securities
04 Mar 2025 - 07 Mar 2025
No
AH4146
UBS AG
Type 1: dealing in securities
08 Nov 2024 - 15 Nov 2024
No
AH4146
UBS AG
Type 1: dealing in securities
21 Jun 2024 - 29 Jun 2024
No
AH4146
UBS AG
Type 1: dealing in securities
01 Dec 2023 - 13 Dec 2023
No
AH4146
UBS AG
Type 1: dealing in securities
12 Dec 2022 - 16 Dec 2022
No
AH4146
UBS AG
Type 1: dealing in securities
12 Sep 2017 - 05 Apr 2019
No
AH4146
UBS AG
Type 1: dealing in securities
10 Mar 2017 - 18 Mar 2017
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.