Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHONG, YAO HOONG
Chinese Name of Relevant Individual
張耀鴻
HKMA Registration Number
AG6946
Other HKMA Registration Number(s)
AF2240
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
03 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
03 Aug 2011
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
04 Mar 2021
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 04 Mar 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2015 - 03 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2015 - 03 Mar 2021
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
19 Mar 2015 - 03 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Aug 2011 - 18 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
03 Aug 2011 - 18 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
03 Aug 2011 - 18 Mar 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
CHONG, YAO HOONG
:
Chinese Name of Relevant Individual
張耀鴻
:
HKMA Registration Number
AG6946
:
Other HKMA Registration Number(s)
AF2240
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Aug 2011
Yes
INVESTMENT BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
03 Aug 2011
Yes
INVESTMENT BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
03 Aug 2011
Yes
INVESTMENT BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
04 Mar 2021
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)
AG6946
UBS AG
Type 1: dealing in securities
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 4: advising on securities
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 6: advising on corporate finance
Since 04 Mar 2021
Yes
AG6946
UBS AG
Type 1: dealing in securities
19 Mar 2015 - 03 Mar 2021
No
AG6946
UBS AG
Type 4: advising on securities
19 Mar 2015 - 03 Mar 2021
No
AG6946
UBS AG
Type 6: advising on corporate finance
19 Mar 2015 - 03 Mar 2021
No
AF2240
UBS AG
Type 1: dealing in securities
03 Aug 2011 - 18 Mar 2015
No
AF2240
UBS AG
Type 4: advising on securities
03 Aug 2011 - 18 Mar 2015
No
AF2240
UBS AG
Type 6: advising on corporate finance
03 Aug 2011 - 18 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.