Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WARD, RODNEY GORDON
Chinese Name of Relevant Individual
HKMA Registration Number
AC0019
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
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2012 - 01 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2012 - 01 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Jul 2012 - 01 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 20 Mar 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jun 2003 - 20 Mar 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
WARD, RODNEY GORDON
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC0019
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0019
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Jul 2012 - 01 May 2015
No
AC0019
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Jul 2012 - 01 May 2015
No
AC0019
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
10 Jul 2012 - 01 May 2015
No
AC0019
UBS AG
Type 4: advising on securities
09 Jun 2003 - 20 Mar 2012
No
AC0019
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 20 Mar 2012
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.