Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MARU, MITESH
Chinese Name of Relevant Individual
HKMA Registration Number
AH4641
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
30 Apr 2019 - 03 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
30 Apr 2019 - 03 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
14 Feb 2019 - 19 Feb 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
14 Feb 2019 - 19 Feb 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
03 Dec 2018 - 06 Dec 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
03 Dec 2018 - 06 Dec 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
13 Mar 2018 - 16 Mar 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
13 Mar 2018 - 16 Mar 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
05 Feb 2018 - 07 Feb 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 Feb 2018 - 07 Feb 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
09 Oct 2017 - 11 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
09 Oct 2017 - 11 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 Jun 2017 - 29 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
28 Jun 2017 - 29 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
15 May 2017 - 19 May 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
MARU, MITESH
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH4641
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4641
UBS AG
Type 1: dealing in securities
30 Apr 2019 - 03 May 2019
No
AH4641
UBS AG
Type 4: advising on securities
30 Apr 2019 - 03 May 2019
No
AH4641
UBS AG
Type 1: dealing in securities
14 Feb 2019 - 19 Feb 2019
No
AH4641
UBS AG
Type 4: advising on securities
14 Feb 2019 - 19 Feb 2019
No
AH4641
UBS AG
Type 1: dealing in securities
03 Dec 2018 - 06 Dec 2018
No
AH4641
UBS AG
Type 4: advising on securities
03 Dec 2018 - 06 Dec 2018
No
AH4641
UBS AG
Type 1: dealing in securities
13 Mar 2018 - 16 Mar 2018
No
AH4641
UBS AG
Type 4: advising on securities
13 Mar 2018 - 16 Mar 2018
No
AH4641
UBS AG
Type 1: dealing in securities
05 Feb 2018 - 07 Feb 2018
No
AH4641
UBS AG
Type 4: advising on securities
05 Feb 2018 - 07 Feb 2018
No
AH4641
UBS AG
Type 1: dealing in securities
09 Oct 2017 - 11 Oct 2017
No
AH4641
UBS AG
Type 4: advising on securities
09 Oct 2017 - 11 Oct 2017
No
AH4641
UBS AG
Type 1: dealing in securities
28 Jun 2017 - 29 Jun 2017
No
AH4641
UBS AG
Type 4: advising on securities
28 Jun 2017 - 29 Jun 2017
No
AH4641
UBS AG
Type 1: dealing in securities
15 May 2017 - 19 May 2017
No
AH4641
UBS AG
Type 4: advising on securities
15 May 2017 - 19 May 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.