Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ARNOLD, KEVIN JOHN
Chinese Name of Relevant Individual
HKMA Registration Number
AH7349
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
22 May 2026 - 28 May 2026
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 2026 - 28 May 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
23 May 2025 - 29 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2025 - 29 May 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
20 Mar 2023 - 26 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Mar 2023 - 26 Mar 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 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
12 Mar 2018 - 15 Mar 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
ARNOLD, KEVIN JOHN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH7349
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7349
UBS AG
Type 1: dealing in securities
22 May 2026 - 28 May 2026
No
AH7349
UBS AG
Type 4: advising on securities
22 May 2026 - 28 May 2026
No
AH7349
UBS AG
Type 1: dealing in securities
23 May 2025 - 29 May 2025
No
AH7349
UBS AG
Type 4: advising on securities
23 May 2025 - 29 May 2025
No
AH7349
UBS AG
Type 1: dealing in securities
20 Mar 2023 - 26 Mar 2023
No
AH7349
UBS AG
Type 4: advising on securities
20 Mar 2023 - 26 Mar 2023
No
AH7349
UBS AG
Type 1: dealing in securities
12 Mar 2018 - 15 Mar 2018
No
AH7349
UBS AG
Type 4: advising on securities
12 Mar 2018 - 15 Mar 2018
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.