Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAI, HONGPING
Chinese Name of Relevant Individual
蔡洪平
HKMA Registration Number
AC8964
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2010 - 27 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Oct 2010 - 27 Feb 2015
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
28 Mar 2007 - 12 Jul 2010
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Apr 2006 - 05 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Apr 2006 - 05 Jul 2010
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
05 Apr 2006 - 27 Mar 2007
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
CAI, HONGPING
:
Chinese Name of Relevant Individual
蔡洪平
:
HKMA Registration Number
AC8964
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8964
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Oct 2010 - 27 Feb 2015
No
AC8964
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
01 Oct 2010 - 27 Feb 2015
No
AC8964
UBS AG
Type 6: advising on corporate finance
28 Mar 2007 - 12 Jul 2010
Yes
AC8964
UBS AG
Type 1: dealing in securities
05 Apr 2006 - 05 Jul 2010
No
AC8964
UBS AG
Type 4: advising on securities
05 Apr 2006 - 05 Jul 2010
No
AC8964
UBS AG
Type 6: advising on corporate finance
05 Apr 2006 - 27 Mar 2007
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.