Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
XIONG, DAVID LE
Chinese Name of Relevant Individual
HKMA Registration Number
AG6899
Other HKMA Registration Number(s)
AF0850
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Jun 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
MERGERS AND ACQUISITIONS
Remarks
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
21 Jun 2019
Is an Executive Officer? (Yes / No)
Yes
Capacity
MERGERS AND ACQUISITIONS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
SFC CE number
AAK077
Business Address
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Effective Date
15 Jul 2020
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 15 Jul 2020
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2019 - 14 Jul 2020
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
21 Jun 2019 - 14 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
23 Sep 2015 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2015 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2015 - 22 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 Mar 2015 - 22 Sep 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
15 Apr 2011 - 17 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
15 Apr 2011 - 17 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Apr 2011 - 17 Mar 2015
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
XIONG, DAVID LE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6899
:
Other HKMA Registration Number(s)
AF0850
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jun 2019
Yes
MERGERS AND ACQUISITIONS
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
21 Jun 2019
Yes
MERGERS AND ACQUISITIONS
Name of Registered Institution
SFC CE number
Business Address
DEUTSCHE BANK AKTIENGESELLSCHAFT
AAK077
60/F, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Registered Institution
Effective Date
Description
DEUTSCHE BANK AKTIENGESELLSCHAFT
1
15 Jul 2020
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
Since 15 Jul 2020
Yes
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
Since 15 Jul 2020
Yes
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jun 2019 - 14 Jul 2020
No
AG6899
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
21 Jun 2019 - 14 Jul 2020
No
AG6899
UBS AG
Type 6: advising on corporate finance
23 Sep 2015 - 22 Mar 2019
Yes
AG6899
UBS AG
Type 1: dealing in securities
18 Mar 2015 - 22 Mar 2019
No
AG6899
UBS AG
Type 4: advising on securities
18 Mar 2015 - 22 Mar 2019
No
AG6899
UBS AG
Type 6: advising on corporate finance
18 Mar 2015 - 22 Sep 2015
No
AF0850
UBS AG
Type 1: dealing in securities
15 Apr 2011 - 17 Mar 2015
No
AF0850
UBS AG
Type 4: advising on securities
15 Apr 2011 - 17 Mar 2015
No
AF0850
UBS AG
Type 6: advising on corporate finance
15 Apr 2011 - 17 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.