Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MITRA, ABHIJIT
Chinese Name of Relevant Individual
HKMA Registration Number
AJ1237
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
08 Sep 2023 - 13 Sep 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
08 Sep 2023 - 13 Sep 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
08 Sep 2023 - 13 Sep 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
19 May 2023 - 24 May 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
19 May 2023 - 24 May 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
19 May 2023 - 24 May 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
08 Feb 2023 - 10 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
08 Feb 2023 - 10 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
08 Feb 2023 - 10 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
09 Jan 2023 - 13 Jan 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
09 Jan 2023 - 13 Jan 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
09 Jan 2023 - 13 Jan 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
MITRA, ABHIJIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ1237
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ1237
UBS AG
Type 1: dealing in securities
08 Sep 2023 - 13 Sep 2023
No
AJ1237
UBS AG
Type 4: advising on securities
08 Sep 2023 - 13 Sep 2023
No
AJ1237
UBS AG
Type 6: advising on corporate finance
08 Sep 2023 - 13 Sep 2023
No
AJ1237
UBS AG
Type 1: dealing in securities
19 May 2023 - 24 May 2023
No
AJ1237
UBS AG
Type 4: advising on securities
19 May 2023 - 24 May 2023
No
AJ1237
UBS AG
Type 6: advising on corporate finance
19 May 2023 - 24 May 2023
No
AJ1237
UBS AG
Type 1: dealing in securities
08 Feb 2023 - 10 Feb 2023
No
AJ1237
UBS AG
Type 4: advising on securities
08 Feb 2023 - 10 Feb 2023
No
AJ1237
UBS AG
Type 6: advising on corporate finance
08 Feb 2023 - 10 Feb 2023
No
AJ1237
UBS AG
Type 1: dealing in securities
09 Jan 2023 - 13 Jan 2023
No
AJ1237
UBS AG
Type 4: advising on securities
09 Jan 2023 - 13 Jan 2023
No
AJ1237
UBS AG
Type 6: advising on corporate finance
09 Jan 2023 - 13 Jan 2023
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.