Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHAO, JIMMY ZHUANG
Chinese Name of Relevant Individual
HKMA Registration Number
AH0179
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
09 Oct 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
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
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
Since 09 Oct 2020
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 Sep 2019 - 14 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2016 - 06 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2016 - 06 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2016 - 06 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2016 - 06 Aug 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
SHAO, JIMMY ZHUANG
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0179
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
09 Oct 2020
No
SALESPERSON
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0179
UBS AG
Type 1: dealing in securities
Since 09 Oct 2020
No
AH0179
UBS AG
Type 1: dealing in securities
15 Sep 2019 - 14 Jul 2020
No
AH0179
CITIBANK, N.A.
Type 1: dealing in securities
05 Jan 2016 - 06 Aug 2019
No
AH0179
CITIBANK, N.A.
Type 4: advising on securities
05 Jan 2016 - 06 Aug 2019
No
AH0179
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Jan 2016 - 06 Aug 2019
No
AH0179
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
05 Jan 2016 - 06 Aug 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.