Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KONG, JIA SHENG, DANIEL
Chinese Name of Relevant Individual
HKMA Registration Number
AG1398
Other HKMA Registration Number(s)
AG6979
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
Since 20 Mar 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
Since 20 Mar 2015
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
Since 20 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Oct 2013 - 19 Mar 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
22 Oct 2013 - 19 Mar 2015
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
22 Oct 2013 - 19 Mar 2015
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
KONG, JIA SHENG, DANIEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG1398
:
Other HKMA Registration Number(s)
AG6979
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6979
UBS AG
Type 1: dealing in securities
Since 20 Mar 2015
No
AG6979
UBS AG
Type 4: advising on securities
Since 20 Mar 2015
No
AG6979
UBS AG
Type 7: providing automated trading services
Since 20 Mar 2015
No
AG1398
UBS AG
Type 1: dealing in securities
22 Oct 2013 - 19 Mar 2015
No
AG1398
UBS AG
Type 4: advising on securities
22 Oct 2013 - 19 Mar 2015
No
AG1398
UBS AG
Type 7: providing automated trading services
22 Oct 2013 - 19 Mar 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.