Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, TSUN WAI
Chinese Name of Relevant Individual
黃竣瑋
HKMA Registration Number
AC0412
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
10 May 2016
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
10 May 2016
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
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 10 May 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
Since 10 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2013 - 18 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2013 - 18 Feb 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2012 - 26 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Sep 2012 - 26 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2010 - 30 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2010 - 30 Jun 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2007 - 05 Feb 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Dec 2005 - 08 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2004 - 20 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2003 - 30 Jun 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
WONG, TSUN WAI
:
Chinese Name of Relevant Individual
黃竣瑋
:
HKMA Registration Number
AC0412
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
10 May 2016
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
10 May 2016
No
CLIENT ADVISOR WM
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)
AC0412
UBS AG
Type 1: dealing in securities
Since 10 May 2016
No
AC0412
UBS AG
Type 4: advising on securities
Since 10 May 2016
No
AC0412
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
04 Jul 2013 - 18 Feb 2015
No
AC0412
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
04 Jul 2013 - 18 Feb 2015
No
AC0412
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Sep 2012 - 26 Dec 2012
No
AC0412
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Sep 2012 - 26 Dec 2012
No
AC0412
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Mar 2010 - 30 Jun 2012
No
AC0412
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Mar 2010 - 30 Jun 2012
No
AC0412
UBS AG
Type 1: dealing in securities
09 Jan 2007 - 05 Feb 2010
No
AC0412
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2005 - 08 Jan 2007
No
AC0412
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 20 Nov 2005
No
AC0412
STANDARD CHARTERED BANK
Type 1: dealing in securities
12 Aug 2003 - 30 Jun 2004
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.