Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SUN, STEVEN JOHN
Chinese Name of Relevant Individual
孫常勝
HKMA Registration Number
AC0025
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
13 Nov 2013 - 30 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2013 - 30 Dec 2014
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
13 Nov 2013 - 30 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2012 - 11 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2012 - 11 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
08 Oct 2012 - 11 Sep 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2009 - 17 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Feb 2009 - 17 Jul 2011
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 - 12 Jan 2009
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 - 12 Jan 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
SUN, STEVEN JOHN
:
Chinese Name of Relevant Individual
孫常勝
:
HKMA Registration Number
AC0025
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0025
UBS AG
Type 1: dealing in securities
13 Nov 2013 - 30 Dec 2014
No
AC0025
UBS AG
Type 4: advising on securities
13 Nov 2013 - 30 Dec 2014
No
AC0025
UBS AG
Type 6: advising on corporate finance
13 Nov 2013 - 30 Dec 2014
No
AC0025
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Oct 2012 - 11 Sep 2013
No
AC0025
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Oct 2012 - 11 Sep 2013
No
AC0025
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
08 Oct 2012 - 11 Sep 2013
No
AC0025
BARCLAYS BANK PLC
Type 1: dealing in securities
21 Feb 2009 - 17 Jul 2011
No
AC0025
BARCLAYS BANK PLC
Type 6: advising on corporate finance
21 Feb 2009 - 17 Jul 2011
No
AC0025
UBS AG
Type 4: advising on securities
09 Jun 2003 - 12 Jan 2009
No
AC0025
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 12 Jan 2009
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.