Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SHUM, CHARMAINE YEE
Chinese Name of Relevant Individual

沈漪
HKMA Registration Number
AC5477
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
21 Jun 2006
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Feb 2014
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SHUM, CHARMAINE YEE
:
Chinese Name of Relevant Individual
沈漪
:
HKMA Registration Number
AC5477
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
21 Jun 2006
No
WM CA DESK HEAD
UBS AG
Type 4: advising on securities
06 Feb 2014
No
WM CA DESK HEAD