Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAPOOR, ANUJ
Chinese Name of Relevant Individual
HKMA Registration Number
AH6469
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
04 Dec 2019 - 06 Dec 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 Dec 2019 - 06 Dec 2019
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
04 Dec 2019 - 06 Dec 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
29 Apr 2019 - 05 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
29 Apr 2019 - 05 May 2019
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
29 Apr 2019 - 05 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
06 Dec 2018 - 07 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
06 Dec 2018 - 07 Dec 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
06 Dec 2018 - 07 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
09 Mar 2018 - 15 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
09 Mar 2018 - 15 Mar 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
09 Mar 2018 - 15 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
28 Nov 2017 - 08 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
28 Nov 2017 - 08 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
28 Nov 2017 - 08 Dec 2017
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
KAPOOR, ANUJ
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH6469
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6469
UBS AG
Type 1: dealing in securities
04 Dec 2019 - 06 Dec 2019
No
AH6469
UBS AG
Type 4: advising on securities
04 Dec 2019 - 06 Dec 2019
No
AH6469
UBS AG
Type 6: advising on corporate finance
04 Dec 2019 - 06 Dec 2019
No
AH6469
UBS AG
Type 1: dealing in securities
29 Apr 2019 - 05 May 2019
No
AH6469
UBS AG
Type 4: advising on securities
29 Apr 2019 - 05 May 2019
No
AH6469
UBS AG
Type 6: advising on corporate finance
29 Apr 2019 - 05 May 2019
No
AH6469
UBS AG
Type 1: dealing in securities
06 Dec 2018 - 07 Dec 2018
No
AH6469
UBS AG
Type 4: advising on securities
06 Dec 2018 - 07 Dec 2018
No
AH6469
UBS AG
Type 6: advising on corporate finance
06 Dec 2018 - 07 Dec 2018
No
AH6469
UBS AG
Type 1: dealing in securities
09 Mar 2018 - 15 Mar 2018
No
AH6469
UBS AG
Type 4: advising on securities
09 Mar 2018 - 15 Mar 2018
No
AH6469
UBS AG
Type 6: advising on corporate finance
09 Mar 2018 - 15 Mar 2018
No
AH6469
UBS AG
Type 1: dealing in securities
28 Nov 2017 - 08 Dec 2017
No
AH6469
UBS AG
Type 4: advising on securities
28 Nov 2017 - 08 Dec 2017
No
AH6469
UBS AG
Type 6: advising on corporate finance
28 Nov 2017 - 08 Dec 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.