Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KONDO, ERIKA
Chinese Name of Relevant Individual
HKMA Registration Number
AJ5808
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
17 Apr 2026 - 22 Apr 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
17 Apr 2026 - 22 Apr 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
19 Nov 2024 - 22 Nov 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
19 Nov 2024 - 22 Nov 2024
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
KONDO, ERIKA
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ5808
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5808
UBS AG
Type 1: dealing in securities
17 Apr 2026 - 22 Apr 2026
No
AJ5808
UBS AG
Type 4: advising on securities
17 Apr 2026 - 22 Apr 2026
No
AJ5808
UBS AG
Type 1: dealing in securities
19 Nov 2024 - 22 Nov 2024
No
AJ5808
UBS AG
Type 4: advising on securities
19 Nov 2024 - 22 Nov 2024
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.