Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
AOKI, DAIJU
Chinese Name of Relevant Individual
HKMA Registration Number
AH8455
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
02 Feb 2026 - 04 Feb 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
02 Feb 2026 - 04 Feb 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
15 Jul 2025 - 18 Jul 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
15 Jul 2025 - 18 Jul 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
28 Jan 2025 - 05 Feb 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
28 Jan 2025 - 05 Feb 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
16 Aug 2024 - 20 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Aug 2024 - 20 Aug 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
26 Jan 2024 - 30 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jan 2024 - 30 Jan 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
14 Jul 2023 - 18 Jul 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
14 Jul 2023 - 18 Jul 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
07 Feb 2020 - 12 Feb 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
07 Feb 2020 - 12 Feb 2020
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 Jun 2019 - 27 Jun 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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
AOKI, DAIJU
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH8455
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8455
UBS AG
Type 1: dealing in securities
02 Feb 2026 - 04 Feb 2026
No
AH8455
UBS AG
Type 4: advising on securities
02 Feb 2026 - 04 Feb 2026
No
AH8455
UBS AG
Type 1: dealing in securities
15 Jul 2025 - 18 Jul 2025
No
AH8455
UBS AG
Type 4: advising on securities
15 Jul 2025 - 18 Jul 2025
No
AH8455
UBS AG
Type 1: dealing in securities
28 Jan 2025 - 05 Feb 2025
No
AH8455
UBS AG
Type 4: advising on securities
28 Jan 2025 - 05 Feb 2025
No
AH8455
UBS AG
Type 1: dealing in securities
16 Aug 2024 - 20 Aug 2024
No
AH8455
UBS AG
Type 4: advising on securities
16 Aug 2024 - 20 Aug 2024
No
AH8455
UBS AG
Type 1: dealing in securities
26 Jan 2024 - 30 Jan 2024
No
AH8455
UBS AG
Type 4: advising on securities
26 Jan 2024 - 30 Jan 2024
No
AH8455
UBS AG
Type 1: dealing in securities
14 Jul 2023 - 18 Jul 2023
No
AH8455
UBS AG
Type 4: advising on securities
14 Jul 2023 - 18 Jul 2023
No
AH8455
UBS AG
Type 1: dealing in securities
07 Feb 2020 - 12 Feb 2020
No
AH8455
UBS AG
Type 4: advising on securities
07 Feb 2020 - 12 Feb 2020
No
AH8455
UBS AG
Type 1: dealing in securities
20 Jun 2019 - 27 Jun 2019
No
AH8455
UBS AG
Type 4: advising on securities
20 Jun 2019 - 27 Jun 2019
No
AH8455
UBS AG
Type 1: dealing in securities
28 Jan 2019 - 01 Feb 2019
No
AH8455
UBS AG
Type 4: advising on securities
28 Jan 2019 - 01 Feb 2019
No
AH8455
UBS AG
Type 1: dealing in securities
13 Jul 2018 - 18 Jul 2018
No
AH8455
UBS AG
Type 4: advising on securities
13 Jul 2018 - 18 Jul 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.