Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHARMA, RANJAN
Chinese Name of Relevant Individual
HKMA Registration Number
AH9450
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
06 Nov 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 06 Nov 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
Since 06 Nov 2023
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
Since 06 Nov 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
15 Sep 2023 - 31 Oct 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
15 Sep 2023 - 31 Oct 2023
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
15 Sep 2023 - 31 Oct 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 Jun 2023 - 16 Jun 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
12 Jun 2023 - 16 Jun 2023
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
12 Jun 2023 - 16 Jun 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
27 Jan 2023 - 03 Feb 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
27 Jan 2023 - 03 Feb 2023
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
27 Jan 2023 - 03 Feb 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
25 Jul 2019 - 26 Jul 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
25 Jul 2019 - 26 Jul 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
25 Jul 2019 - 26 Jul 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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
SHARMA, RANJAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH9450
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Nov 2023
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
06 Nov 2023
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
06 Nov 2023
No
INV. BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH9450
UBS AG
Type 1: dealing in securities
Since 06 Nov 2023
No
AH9450
UBS AG
Type 4: advising on securities
Since 06 Nov 2023
No
AH9450
UBS AG
Type 6: advising on corporate finance
Since 06 Nov 2023
No
AH9450
UBS AG
Type 1: dealing in securities
15 Sep 2023 - 31 Oct 2023
No
AH9450
UBS AG
Type 4: advising on securities
15 Sep 2023 - 31 Oct 2023
No
AH9450
UBS AG
Type 6: advising on corporate finance
15 Sep 2023 - 31 Oct 2023
No
AH9450
UBS AG
Type 1: dealing in securities
12 Jun 2023 - 16 Jun 2023
No
AH9450
UBS AG
Type 4: advising on securities
12 Jun 2023 - 16 Jun 2023
No
AH9450
UBS AG
Type 6: advising on corporate finance
12 Jun 2023 - 16 Jun 2023
No
AH9450
UBS AG
Type 1: dealing in securities
27 Jan 2023 - 03 Feb 2023
No
AH9450
UBS AG
Type 4: advising on securities
27 Jan 2023 - 03 Feb 2023
No
AH9450
UBS AG
Type 6: advising on corporate finance
27 Jan 2023 - 03 Feb 2023
No
AH9450
UBS AG
Type 1: dealing in securities
25 Jul 2019 - 26 Jul 2019
No
AH9450
UBS AG
Type 4: advising on securities
25 Jul 2019 - 26 Jul 2019
No
AH9450
UBS AG
Type 6: advising on corporate finance
25 Jul 2019 - 26 Jul 2019
No
AH9450
UBS AG
Type 1: dealing in securities
15 May 2019 - 17 May 2019
No
AH9450
UBS AG
Type 4: advising on securities
15 May 2019 - 17 May 2019
No
AH9450
UBS AG
Type 6: advising on corporate finance
15 May 2019 - 17 May 2019
No
AH9450
UBS AG
Type 1: dealing in securities
27 Sep 2018 - 28 Sep 2018
No
AH9450
UBS AG
Type 4: advising on securities
27 Sep 2018 - 28 Sep 2018
No
AH9450
UBS AG
Type 6: advising on corporate finance
27 Sep 2018 - 28 Sep 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.