Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, WAN YU TRACY
Chinese Name of Relevant Individual
陳韻如
HKMA Registration Number
AC6240
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
02 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Sep 2020
Is an Executive Officer? (Yes / No)
No
Capacity
MANDATE SPECIALIST
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 02 Sep 2020
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 02 Sep 2020
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
31 Oct 2018 - 04 Aug 2020
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
31 Oct 2018 - 04 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
31 Oct 2018 - 04 Aug 2020
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
05 Dec 2016 - 19 Oct 2018
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
05 Dec 2016 - 19 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 9: asset management
Effective Period
21 Jan 2015 - 21 Nov 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
20 Jan 2015 - 21 Nov 2016
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
20 Jan 2015 - 21 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2013 - 05 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2013 - 05 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
18 Dec 2013 - 05 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2008 - 13 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 9: asset management
Effective Period
04 Jul 2008 - 13 Dec 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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
CHAN, WAN YU TRACY
:
Chinese Name of Relevant Individual
陳韻如
:
HKMA Registration Number
AC6240
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
02 Sep 2020
No
MANDATE SPECIALIST
UBS AG
Type 4: advising on securities
02 Sep 2020
No
MANDATE SPECIALIST
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)
AC6240
UBS AG
Type 1: dealing in securities
Since 02 Sep 2020
No
AC6240
UBS AG
Type 4: advising on securities
Since 02 Sep 2020
No
AC6240
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
31 Oct 2018 - 04 Aug 2020
No
AC6240
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
31 Oct 2018 - 04 Aug 2020
No
AC6240
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
31 Oct 2018 - 04 Aug 2020
No
AC6240
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Dec 2016 - 19 Oct 2018
No
AC6240
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Dec 2016 - 19 Oct 2018
No
AC6240
BANK JULIUS BAER & CO. LTD.
Type 9: asset management
21 Jan 2015 - 21 Nov 2016
No
AC6240
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
20 Jan 2015 - 21 Nov 2016
No
AC6240
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
20 Jan 2015 - 21 Nov 2016
No
AC6240
ABN AMRO BANK N.V.
Type 1: dealing in securities
18 Dec 2013 - 05 Jan 2015
No
AC6240
ABN AMRO BANK N.V.
Type 4: advising on securities
18 Dec 2013 - 05 Jan 2015
No
AC6240
ABN AMRO BANK N.V.
Type 9: asset management
18 Dec 2013 - 05 Jan 2015
No
AC6240
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
04 Jul 2008 - 13 Dec 2013
No
AC6240
BNP PARIBAS WEALTH MANAGEMENT
Type 9: asset management
04 Jul 2008 - 13 Dec 2013
No
AC6240
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
28 Aug 2007 - 28 Feb 2008
No
AC6240
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
28 Aug 2007 - 28 Feb 2008
No
AC6240
CITIBANK, N.A.
Type 1: dealing in securities
13 Jul 2005 - 28 Feb 2008
No
AC6240
CITIBANK, N.A.
Type 4: advising on securities
13 Jul 2005 - 28 Feb 2008
No
AC6240
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 23 Aug 2007
No
AC6240
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
01 Oct 2005 - 23 Aug 2007
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.