Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHENG, KAI-WEN
Chinese Name of Relevant Individual
鄭凱文
HKMA Registration Number
AI0626
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
08 Jan 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SALES TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jan 2021
Is an Executive Officer? (Yes / No)
No
Capacity
SALES 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
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 08 Jan 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
Since 08 Jan 2021
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
22 Jan 2019 - 25 Aug 2020
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
22 Jan 2019 - 25 Aug 2020
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
22 Jan 2019 - 25 Aug 2020
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
22 Jan 2019 - 25 Aug 2020
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
CHENG, KAI-WEN
:
Chinese Name of Relevant Individual
鄭凱文
:
HKMA Registration Number
AI0626
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
08 Jan 2021
No
SALES TEAM LEADER
UBS AG
Type 4: advising on securities
08 Jan 2021
No
SALES 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.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0626
UBS AG
Type 1: dealing in securities
Since 08 Jan 2021
No
AI0626
UBS AG
Type 4: advising on securities
Since 08 Jan 2021
No
AI0626
CITIBANK, N.A.
Type 1: dealing in securities
22 Jan 2019 - 25 Aug 2020
No
AI0626
CITIBANK, N.A.
Type 4: advising on securities
22 Jan 2019 - 25 Aug 2020
No
AI0626
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
22 Jan 2019 - 25 Aug 2020
No
AI0626
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
22 Jan 2019 - 25 Aug 2020
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.