Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KOO, WAI SUM
Chinese Name of Relevant Individual
古惠琛
HKMA Registration Number
AA2828
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 Feb 2018 - 14 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2005 - 09 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jul 2003 - 11 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jul 2003 - 11 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Jul 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
KOO, WAI SUM
:
Chinese Name of Relevant Individual
古惠琛
:
HKMA Registration Number
AA2828
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2828
UBS AG
Type 1: dealing in securities
23 Feb 2018 - 14 Jan 2020
No
AA2828
UBS AG
Type 1: dealing in securities
26 May 2005 - 09 Aug 2017
No
AA2828
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 11 May 2005
No
AA2828
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 11 May 2005
No
AA2828
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 21 Mar 2005
No
AA2828
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2828
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 Jul 2003
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.