Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JIA, PENG
Chinese Name of Relevant Individual
賈鵬
HKMA Registration Number
AF3262
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
05 Sep 2018 - 15 Mar 2024
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 Sep 2018 - 15 Mar 2024
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 Sep 2018 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Oct 2011 - 07 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Oct 2011 - 07 Mar 2016
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
08 Oct 2011 - 07 Mar 2016
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
JIA, PENG
:
Chinese Name of Relevant Individual
賈鵬
:
HKMA Registration Number
AF3262
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3262
UBS AG
Type 1: dealing in securities
05 Sep 2018 - 15 Mar 2024
No
AF3262
UBS AG
Type 4: advising on securities
05 Sep 2018 - 15 Mar 2024
No
AF3262
UBS AG
Type 6: advising on corporate finance
05 Sep 2018 - 15 Mar 2024
No
AF3262
UBS AG
Type 1: dealing in securities
08 Oct 2011 - 07 Mar 2016
No
AF3262
UBS AG
Type 4: advising on securities
08 Oct 2011 - 07 Mar 2016
No
AF3262
UBS AG
Type 6: advising on corporate finance
08 Oct 2011 - 07 Mar 2016
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.