Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, SUK KAM SHIRLEY
Chinese Name of Relevant Individual
胡淑錦
HKMA Registration Number
AA1330
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
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2015 - 14 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2015 - 14 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2014 - 25 Sep 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Nov 2010 - 25 Sep 2014
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
06 Jun 2008 - 11 Nov 2010
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
04 Jun 2008 - 11 Nov 2010
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
01 Oct 2005 - 11 Nov 2010
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
01 Apr 2003 - 11 Nov 2010
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
WU, SUK KAM SHIRLEY
:
Chinese Name of Relevant Individual
胡淑錦
:
HKMA Registration Number
AA1330
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1330
BANK OF MONTREAL
Type 1: dealing in securities
21 Jan 2015 - 14 Jan 2016
No
AA1330
BANK OF MONTREAL
Type 4: advising on securities
21 Jan 2015 - 14 Jan 2016
No
AA1330
UBS AG
Type 4: advising on securities
14 Feb 2014 - 25 Sep 2014
No
AA1330
UBS AG
Type 1: dealing in securities
24 Nov 2010 - 25 Sep 2014
No
AA1330
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 11 Nov 2010
No
AA1330
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 11 Nov 2010
No
AA1330
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 11 Nov 2010
No
AA1330
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 11 Nov 2010
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.