Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SHUM, HING SAN FIONA
Chinese Name of Relevant Individual

沈慶珊
HKMA Registration Number
AA1453
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 Jan 2008
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Mar 2014
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SHUM, HING SAN FIONA
:
Chinese Name of Relevant Individual
沈慶珊
:
HKMA Registration Number
AA1453
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
09 Jan 2008
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
08 Mar 2014
No
CLIENT ADVISOR WM