Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
JONES, MARK DEAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF4283
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
25 Jan 2013 - 22 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jan 2013 - 22 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 Jan 2013 - 22 Apr 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
25 May 2012 - 24 Jan 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 May 2012 - 24 Jan 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
25 May 2012 - 24 Jan 2013
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2012 - 24 May 2012
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 Jan 2012 - 24 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
05 Jan 2012 - 24 May 2012
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
JONES, MARK DEAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF4283
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4283
UBS AG
Type 1: dealing in securities
25 Jan 2013 - 22 Apr 2013
No
AF4283
UBS AG
Type 4: advising on securities
25 Jan 2013 - 22 Apr 2013
No
AF4283
UBS AG
Type 7: providing automated trading services
25 Jan 2013 - 22 Apr 2013
No
AF4283
UBS AG
Type 1: dealing in securities
25 May 2012 - 24 Jan 2013
Yes
AF4283
UBS AG
Type 4: advising on securities
25 May 2012 - 24 Jan 2013
Yes
AF4283
UBS AG
Type 7: providing automated trading services
25 May 2012 - 24 Jan 2013
Yes
AF4283
UBS AG
Type 1: dealing in securities
05 Jan 2012 - 24 May 2012
No
AF4283
UBS AG
Type 4: advising on securities
05 Jan 2012 - 24 May 2012
No
AF4283
UBS AG
Type 7: providing automated trading services
05 Jan 2012 - 24 May 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.