Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, YU MICHAEL
Chinese Name of Relevant Individual
黃宇
HKMA Registration Number
AC0468
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CIO & HEAD OF INVESTMENT
Remarks
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CIO & HEAD OF INVESTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CTBC BANK CO., LTD.
SFC CE number
ABM849
Business Address
ROOM 2106-10, 21/F AND ROOM 2801, 28/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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Dec 2021 - 26 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
23 Dec 2021 - 26 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jun 2010 - 29 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jun 2010 - 29 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
04 Jun 2010 - 01 Jan 2013
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
13 Aug 2008 - 14 Mar 2010
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
13 Aug 2008 - 14 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Aug 2003 - 06 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Aug 2003 - 06 Apr 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, YU MICHAEL
:
Chinese Name of Relevant Individual
黃宇
:
HKMA Registration Number
AC0468
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CTBC BANK CO., LTD.
Type 1: dealing in securities
28 Mar 2026
No
CIO & HEAD OF INVESTMENT
CTBC BANK CO., LTD.
Type 4: advising on securities
28 Mar 2026
No
CIO & HEAD OF INVESTMENT
Name of Registered Institution
SFC CE number
Business Address
CTBC BANK CO., LTD.
ABM849
ROOM 2106-10, 21/F AND ROOM 2801, 28/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)
AC0468
CTBC BANK CO., LTD.
Type 1: dealing in securities
Since 28 Mar 2026
No
AC0468
CTBC BANK CO., LTD.
Type 4: advising on securities
Since 28 Mar 2026
No
AC0468
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Dec 2021 - 26 Sep 2023
No
AC0468
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
23 Dec 2021 - 26 Sep 2023
No
AC0468
UBS AG
Type 1: dealing in securities
04 Jun 2010 - 29 Nov 2019
No
AC0468
UBS AG
Type 4: advising on securities
04 Jun 2010 - 29 Nov 2019
No
AC0468
UBS AG
Type 9: asset management
04 Jun 2010 - 01 Jan 2013
No
AC0468
CREDIT SUISSE AG
Type 1: dealing in securities
13 Aug 2008 - 14 Mar 2010
No
AC0468
CREDIT SUISSE AG
Type 4: advising on securities
13 Aug 2008 - 14 Mar 2010
No
AC0468
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Aug 2003 - 06 Apr 2005
No
AC0468
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Aug 2003 - 06 Apr 2005
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.