Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, GUODONG
Chinese Name of Relevant Individual
馬國棟
HKMA Registration Number
AF4178
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
21 Dec 2011 - 09 Jul 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
21 Dec 2011 - 09 Jul 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
21 Dec 2011 - 09 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, GUODONG
:
Chinese Name of Relevant Individual
馬國棟
:
HKMA Registration Number
AF4178
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4178
UBS AG
Type 1: dealing in securities
21 Dec 2011 - 09 Jul 2015
No
AF4178
UBS AG
Type 4: advising on securities
21 Dec 2011 - 09 Jul 2015
No
AF4178
UBS AG
Type 6: advising on corporate finance
21 Dec 2011 - 09 Jul 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.