Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TONG, XIWEN
Chinese Name of Relevant Individual
仝锡闻
HKMA Registration Number
AJ2006
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
23 Aug 2023 - 22 May 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
23 Aug 2023 - 22 May 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
23 Aug 2023 - 22 May 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
22 May 2023 - 17 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 May 2023 - 17 Aug 2023
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
22 May 2023 - 17 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2023 - 08 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2023 - 08 May 2023
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
21 Apr 2023 - 08 May 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
TONG, XIWEN
:
Chinese Name of Relevant Individual
仝锡闻
:
HKMA Registration Number
AJ2006
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ2006
UBS AG
Type 1: dealing in securities
23 Aug 2023 - 22 May 2024
No
AJ2006
UBS AG
Type 4: advising on securities
23 Aug 2023 - 22 May 2024
No
AJ2006
UBS AG
Type 6: advising on corporate finance
23 Aug 2023 - 22 May 2024
No
AJ2006
UBS AG
Type 1: dealing in securities
22 May 2023 - 17 Aug 2023
No
AJ2006
UBS AG
Type 4: advising on securities
22 May 2023 - 17 Aug 2023
No
AJ2006
UBS AG
Type 6: advising on corporate finance
22 May 2023 - 17 Aug 2023
No
AJ2006
UBS AG
Type 1: dealing in securities
21 Apr 2023 - 08 May 2023
No
AJ2006
UBS AG
Type 4: advising on securities
21 Apr 2023 - 08 May 2023
No
AJ2006
UBS AG
Type 6: advising on corporate finance
21 Apr 2023 - 08 May 2023
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.