Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WOO, KA YI
Chinese Name of Relevant Individual
胡嘉怡
HKMA Registration Number
AC5924
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
19 Feb 2016 - 29 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Dec 2014 - 25 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Dec 2014 - 25 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2008 - 29 Dec 2014
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
07 Sep 2006 - 24 Mar 2008
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
07 Sep 2006 - 24 Mar 2008
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
17 Jun 2005 - 28 Aug 2006
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
WOO, KA YI
:
Chinese Name of Relevant Individual
胡嘉怡
:
HKMA Registration Number
AC5924
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5924
UBS AG
Type 1: dealing in securities
19 Feb 2016 - 29 Oct 2021
No
AC5924
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 1: dealing in securities
30 Dec 2014 - 25 Jan 2016
No
AC5924
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 4: advising on securities
30 Dec 2014 - 25 Jan 2016
No
AC5924
UBS AG
Type 1: dealing in securities
11 Apr 2008 - 29 Dec 2014
No
AC5924
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Sep 2006 - 24 Mar 2008
No
AC5924
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Sep 2006 - 24 Mar 2008
No
AC5924
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jun 2005 - 28 Aug 2006
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.