Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
GU, CHENGZONG
Chinese Name of Relevant Individual

顾承宗
HKMA Registration Number
AG6536
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
27 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Engaged as an itinerant professional (See Note below)
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Engaged as an itinerant professional (See Note below)
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
27 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Engaged as an itinerant professional (See Note below)
Note

The itinerant professional:
1) shall not carry out the regulated activity(ies) in Hong Kong for more than 45 days in each calendar year; and
2) shall not provide related services to any person other than a professional investor unless the itinerant professional is accompanied at all times by a relevant individual (who is not a temporarily engaged staff or itinerant professional) in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules.

Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
GU, CHENGZONG
:
Chinese Name of Relevant Individual
顾承宗
:
HKMA Registration Number
AG6536
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
27 Aug 2025
No
INVESTMENT BANKER
Engaged as an itinerant professional (See Note below)
UBS AG
Type 4: advising on securities
27 Aug 2025
No
INVESTMENT BANKER
Engaged as an itinerant professional (See Note below)
UBS AG
Type 6: advising on corporate finance
27 Aug 2025
No
INVESTMENT BANKER
Engaged as an itinerant professional (See Note below)
Note

The itinerant professional:
1) shall not carry out the regulated activity(ies) in Hong Kong for more than 45 days in each calendar year; and
2) shall not provide related services to any person other than a professional investor unless the itinerant professional is accompanied at all times by a relevant individual (who is not a temporarily engaged staff or itinerant professional) in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules.