Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
DENG, NA
Chinese Name of Relevant Individual
鄧納
HKMA Registration Number
AH1941
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
31 Jul 2017 - 16 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 Jul 2017 - 16 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2016 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2016 - 07 Jul 2017
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
DENG, NA
:
Chinese Name of Relevant Individual
鄧納
:
HKMA Registration Number
AH1941
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1941
UBS AG
Type 1: dealing in securities
31 Jul 2017 - 16 Mar 2020
No
AH1941
UBS AG
Type 4: advising on securities
31 Jul 2017 - 16 Mar 2020
No
AH1941
CHONG HING BANK LIMITED
Type 1: dealing in securities
01 Jul 2016 - 07 Jul 2017
No
AH1941
CHONG HING BANK LIMITED
Type 4: advising on securities
01 Jul 2016 - 07 Jul 2017
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.