Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WAI CHUNG
Chinese Name of Relevant Individual
李慧中
HKMA Registration Number
AC0432
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
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 31 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
31 May 2024 - 30 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Aug 2016 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2016 - 31 May 2024
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
26 Aug 2015 - 23 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jul 2015 - 23 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jan 2013 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CANADIAN IMPERIAL BANK OF COMMERCE
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2006 - 25 Jan 2013
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
21 Apr 2006 - 08 May 2006
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
12 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2003 - 27 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
16 Aug 2003 - 22 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
LEE, WAI CHUNG
:
Chinese Name of Relevant Individual
李慧中
:
HKMA Registration Number
AC0432
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ACCOUNT MANAGER
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)
AC0432
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AC0432
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AC0432
CREDIT SUISSE AG
Type 1: dealing in securities
11 Aug 2016 - 31 May 2024
No
AC0432
CREDIT SUISSE AG
Type 4: advising on securities
11 Aug 2016 - 31 May 2024
No
AC0432
BANK OF MONTREAL
Type 4: advising on securities
26 Aug 2015 - 23 Jun 2016
No
AC0432
BANK OF MONTREAL
Type 1: dealing in securities
31 Jul 2015 - 23 Jun 2016
No
AC0432
BANK OF MONTREAL
Type 1: dealing in securities
26 Jan 2013 - 24 Jul 2015
No
AC0432
CANADIAN IMPERIAL BANK OF COMMERCE
Type 1: dealing in securities
07 Oct 2006 - 25 Jan 2013
No
AC0432
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Apr 2006 - 08 May 2006
No
AC0432
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Apr 2006
No
AC0432
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
16 Aug 2003 - 27 Mar 2006
No
AC0432
SHANGHAI COMMERCIAL BANK LIMITED
Type 7: providing automated trading services
16 Aug 2003 - 22 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.