Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JONES, MARK DEAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF0332
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
01 Apr 2011 - 04 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2011 - 04 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2011 - 04 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 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
11 Mar 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Mar 2011
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
JONES, MARK DEAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0332
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0332
UBS AG
Type 1: dealing in securities
01 Apr 2011 - 04 Jan 2012
No
AF0332
UBS AG
Type 4: advising on securities
01 Apr 2011 - 04 Jan 2012
No
AF0332
UBS AG
Type 7: providing automated trading services
01 Apr 2011 - 04 Jan 2012
No
AF0332
UBS AG
Type 1: dealing in securities
11 Mar 2011
No
AF0332
UBS AG
Type 4: advising on securities
11 Mar 2011
No
AF0332
UBS AG
Type 7: providing automated trading services
11 Mar 2011
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.