Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, KIN WING
Chinese Name of Relevant Individual
何健榮
HKMA Registration Number
AG7000
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
18 Jul 2019 - 01 Sep 2021
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
20 Mar 2015 - 28 Jun 2019
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
20 Mar 2015 - 28 Jun 2019
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
20 Mar 2015 - 28 Jun 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
HO, KIN WING
:
Chinese Name of Relevant Individual
何健榮
:
HKMA Registration Number
AG7000
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7000
UBS AG
Type 1: dealing in securities
18 Jul 2019 - 01 Sep 2021
No
AG7000
HANG SENG BANK, LIMITED
Type 1: dealing in securities
20 Mar 2015 - 28 Jun 2019
No
AG7000
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 Mar 2015 - 28 Jun 2019
No
AG7000
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
20 Mar 2015 - 28 Jun 2019
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.