Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHONG, YAO HOONG
Chinese Name of Relevant Individual
HKMA Registration Number
AF2240
Other HKMA Registration Number(s)
AG6946
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
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2015 - 03 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2015 - 03 Mar 2021
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
19 Mar 2015 - 03 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2011 - 18 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
03 Aug 2011 - 18 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
03 Aug 2011 - 18 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
CHONG, YAO HOONG
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2240
:
Other HKMA Registration Number(s)
AG6946
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6946
UBS AG
Type 1: dealing in securities
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 4: advising on securities
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 6: advising on corporate finance
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 1: dealing in securities
19 Mar 2015 - 03 Mar 2021
No
AG6946
UBS AG
Type 4: advising on securities
19 Mar 2015 - 03 Mar 2021
No
AG6946
UBS AG
Type 6: advising on corporate finance
19 Mar 2015 - 03 Mar 2021
No
AF2240
UBS AG
Type 1: dealing in securities
03 Aug 2011 - 18 Mar 2015
No
AF2240
UBS AG
Type 4: advising on securities
03 Aug 2011 - 18 Mar 2015
No
AF2240
UBS AG
Type 6: advising on corporate finance
03 Aug 2011 - 18 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.