Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAO, ZILING
Chinese Name of Relevant Individual
曹子靈
HKMA Registration Number
AF4699
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
20 Feb 2014 - 18 Nov 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
20 Feb 2014 - 18 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jan 2012 - 19 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
31 Jan 2012 - 19 Nov 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
CAO, ZILING
:
Chinese Name of Relevant Individual
曹子靈
:
HKMA Registration Number
AF4699
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4699
UBS AG
Type 1: dealing in securities
20 Feb 2014 - 18 Nov 2016
No
AF4699
UBS AG
Type 4: advising on securities
20 Feb 2014 - 18 Nov 2016
No
AF4699
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
31 Jan 2012 - 19 Nov 2013
No
AF4699
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
31 Jan 2012 - 19 Nov 2013
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.