Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, LEVIN LAP MAN
Chinese Name of Relevant Individual
鄭立文
HKMA Registration Number
AF6401
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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 31 May 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
Since 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2020 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2020 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2019 - 13 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
01 Mar 2019 - 13 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Oct 2016 - 24 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Oct 2016 - 24 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2012 - 16 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2012 - 16 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
29 Jun 2012 - 16 Oct 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
CHENG, LEVIN LAP MAN
:
Chinese Name of Relevant Individual
鄭立文
:
HKMA Registration Number
AF6401
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
31 May 2024
No
CLIENT ADVISOR WM
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6401
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AF6401
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AF6401
CREDIT SUISSE AG
Type 1: dealing in securities
15 Feb 2020 - 31 May 2024
No
AF6401
CREDIT SUISSE AG
Type 4: advising on securities
15 Feb 2020 - 31 May 2024
No
AF6401
BNP PARIBAS
Type 1: dealing in securities
01 Mar 2019 - 13 Dec 2019
No
AF6401
BNP PARIBAS
Type 4: advising on securities
01 Mar 2019 - 13 Dec 2019
No
AF6401
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Oct 2016 - 24 Feb 2019
No
AF6401
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Oct 2016 - 24 Feb 2019
No
AF6401
HANG SENG BANK, LIMITED
Type 1: dealing in securities
29 Jun 2012 - 16 Oct 2016
No
AF6401
HANG SENG BANK, LIMITED
Type 4: advising on securities
29 Jun 2012 - 16 Oct 2016
No
AF6401
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
29 Jun 2012 - 16 Oct 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.