Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUPTA, SACHIN
Chinese Name of Relevant Individual
HKMA Registration Number
AJ1652
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
13 Jan 2026 - 17 Jan 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
14 Feb 2025 - 22 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
15 Mar 2024 - 26 Mar 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
24 Feb 2023 - 03 Mar 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
GUPTA, SACHIN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ1652
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ1652
UBS AG
Type 1: dealing in securities
13 Jan 2026 - 17 Jan 2026
No
AJ1652
UBS AG
Type 1: dealing in securities
14 Feb 2025 - 22 Feb 2025
No
AJ1652
UBS AG
Type 1: dealing in securities
15 Mar 2024 - 26 Mar 2024
No
AJ1652
UBS AG
Type 1: dealing in securities
24 Feb 2023 - 03 Mar 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.