Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIONG, DAVID LE
Chinese Name of Relevant Individual
HKMA Registration Number
AF0850
Other HKMA Registration Number(s)
AG6899
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
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2019 - 14 Jul 2020
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
21 Jun 2019 - 14 Jul 2020
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
23 Sep 2015 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2015 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2015 - 22 Mar 2019
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
18 Mar 2015 - 22 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Apr 2011 - 17 Mar 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
15 Apr 2011 - 17 Mar 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
15 Apr 2011 - 17 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
XIONG, DAVID LE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF0850
:
Other HKMA Registration Number(s)
AG6899
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 15 Jul 2020
Yes
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
Since 15 Jul 2020
Yes
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jun 2019 - 14 Jul 2020
No
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
21 Jun 2019 - 14 Jul 2020
No
AG6899
UBS AG
Type 6: advising on corporate finance
23 Sep 2015 - 22 Mar 2019
Yes
AG6899
UBS AG
Type 1: dealing in securities
18 Mar 2015 - 22 Mar 2019
No
AG6899
UBS AG
Type 4: advising on securities
18 Mar 2015 - 22 Mar 2019
No
AG6899
UBS AG
Type 6: advising on corporate finance
18 Mar 2015 - 22 Sep 2015
No
AF0850
UBS AG
Type 1: dealing in securities
15 Apr 2011 - 17 Mar 2015
No
AF0850
UBS AG
Type 4: advising on securities
15 Apr 2011 - 17 Mar 2015
No
AF0850
UBS AG
Type 6: advising on corporate finance
15 Apr 2011 - 17 Mar 2015
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.
