Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, SIU YIN
Chinese Name of Relevant Individual
鄭小燕
HKMA Registration Number
AA0381
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
26 Aug 2014 - 30 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 12 Dec 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2008 - 12 Dec 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2007 - 12 Dec 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2007 - 12 Dec 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jul 2005 - 11 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jul 2005 - 11 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jun 2005 - 19 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 16 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 16 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 16 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
01 Apr 2003 - 16 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 10 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
CHENG, SIU YIN
:
Chinese Name of Relevant Individual
鄭小燕
:
HKMA Registration Number
AA0381
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0381
UBS AG
Type 1: dealing in securities
26 Aug 2014 - 30 Jun 2016
No
AA0381
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 12 Dec 2011
No
AA0381
CITIBANK, N.A.
Type 4: advising on securities
05 Jun 2008 - 12 Dec 2011
No
AA0381
CITIBANK, N.A.
Type 1: dealing in securities
24 Apr 2007 - 12 Dec 2011
No
AA0381
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
24 Apr 2007 - 12 Dec 2011
No
AA0381
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2005 - 11 Jan 2007
No
AA0381
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2005 - 11 Jan 2007
No
AA0381
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jun 2005 - 19 Jul 2005
No
AA0381
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 16 May 2005
No
AA0381
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 16 May 2005
No
AA0381
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 16 May 2005
No
AA0381
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
01 Apr 2003 - 16 May 2005
No
AA0381
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 2005
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.