Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HEONG, SAU YIN KENNIS
Chinese Name of Relevant Individual
洪秀燕
HKMA Registration Number
AA1704
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 4: advising on securities
Effective Period
17 Jan 2018 - 15 Mar 2019
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 May 2015 - 15 Mar 2019
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 Jul 2005 - 25 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ING BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2004 - 29 Jun 2005
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
01 Apr 2003 - 03 Jul 2004
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
01 Apr 2003 - 03 Jul 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
HEONG, SAU YIN KENNIS
:
Chinese Name of Relevant Individual
洪秀燕
:
HKMA Registration Number
AA1704
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1704
UBS AG
Type 4: advising on securities
17 Jan 2018 - 15 Mar 2019
No
AA1704
UBS AG
Type 1: dealing in securities
14 May 2015 - 15 Mar 2019
No
AA1704
UBS AG
Type 1: dealing in securities
09 Jul 2005 - 25 Aug 2007
No
AA1704
ING BANK N.V.
Type 1: dealing in securities
05 Jul 2004 - 29 Jun 2005
No
AA1704
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 03 Jul 2004
No
AA1704
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 03 Jul 2004
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.