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PANTONE, NICOLA

HKMA AF3744HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

PANTONE, NICOLA (HKMA registration number AF3744) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at UBS AG. Has been engaged at 3 authorized institutions over time.

Current Registration (2)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
UBS AGRA 1 Type 1: dealing in securitiesYesSENIOR MANAGER TRADING & SALES2021-12-07
UBS AGRA 4 Type 4: advising on securitiesYesSENIOR MANAGER TRADING & SALES2021-12-07

Business Address

Registered InstitutionSFC CE No.Address
UBS AGAEP55452/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.

Registration History (7)

2022-09-19 – present Current
UBS AG Executive Officer
RA 1 RA 4
2021-12-07 – 2025-11-17
UBS AG
RA 7
2021-12-07 – 2022-09-18
UBS AG
RA 1 RA 4
2019-09-04 – 2021-07-12
HSBC BANK PLC
RA 1 RA 4
2017-03-17 – 2021-07-12
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE) Executive Officer
RA 2 RA 5
2014-02-11 – 2017-03-16
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 2 RA 5
2011-11-10 – 2021-07-12
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
RA 1 RA 4

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AF3744