Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, HONGSEN
Chinese Name of Relevant Individual
馬洪森
HKMA Registration Number
AF2188
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
07 Dec 2013 - 02 Feb 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
07 Dec 2013 - 02 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SARASIN & CIE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Feb 2013 - 15 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SARASIN & CIE AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Feb 2013 - 15 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jul 2011 - 23 Dec 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
MA, HONGSEN
:
Chinese Name of Relevant Individual
馬洪森
:
HKMA Registration Number
AF2188
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2188
UBS AG
Type 1: dealing in securities
07 Dec 2013 - 02 Feb 2015
No
AF2188
UBS AG
Type 4: advising on securities
07 Dec 2013 - 02 Feb 2015
No
AF2188
BANK SARASIN & CIE AG
Type 1: dealing in securities
26 Feb 2013 - 15 Aug 2013
No
AF2188
BANK SARASIN & CIE AG
Type 4: advising on securities
26 Feb 2013 - 15 Aug 2013
No
AF2188
UBS AG
Type 1: dealing in securities
29 Jul 2011 - 23 Dec 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.