Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, ZHUOMING
Chinese Name of Relevant Individual
陳卓銘
HKMA Registration Number
AG8987
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
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jun 2024 - 25 Mar 2026
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
27 Jun 2024 - 25 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2021 - 27 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2021 - 27 Mar 2024
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
06 May 2021 - 27 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2015 - 16 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2015 - 16 Oct 2018
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
16 Sep 2015 - 16 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CHEN, ZHUOMING
:
Chinese Name of Relevant Individual
陳卓銘
:
HKMA Registration Number
AG8987
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8987
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
27 Jun 2024 - 25 Mar 2026
No
AG8987
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 6: advising on corporate finance
27 Jun 2024 - 25 Mar 2026
No
AG8987
UBS AG
Type 1: dealing in securities
06 May 2021 - 27 Mar 2024
No
AG8987
UBS AG
Type 4: advising on securities
06 May 2021 - 27 Mar 2024
No
AG8987
UBS AG
Type 6: advising on corporate finance
06 May 2021 - 27 Mar 2024
No
AG8987
UBS AG
Type 1: dealing in securities
16 Sep 2015 - 16 Oct 2018
No
AG8987
UBS AG
Type 4: advising on securities
16 Sep 2015 - 16 Oct 2018
No
AG8987
UBS AG
Type 6: advising on corporate finance
16 Sep 2015 - 16 Oct 2018
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.