Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, WEN CHI
Chinese Name of Relevant Individual
陳文吉
HKMA Registration Number
AC6937
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
06 Mar 2015 - 16 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2015 - 16 May 2016
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
15 Apr 2011 - 02 Dec 2014
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
15 Apr 2011 - 02 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2008 - 18 Mar 2011
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
16 Sep 2005 - 18 Mar 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
30 Mar 2006 - 24 Mar 2008
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
CHEN, WEN CHI
:
Chinese Name of Relevant Individual
陳文吉
:
HKMA Registration Number
AC6937
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6937
UBS AG
Type 1: dealing in securities
06 Mar 2015 - 16 May 2016
No
AC6937
UBS AG
Type 4: advising on securities
06 Mar 2015 - 16 May 2016
No
AC6937
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Apr 2011 - 02 Dec 2014
No
AC6937
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
15 Apr 2011 - 02 Dec 2014
No
AC6937
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jun 2008 - 18 Mar 2011
No
AC6937
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Sep 2005 - 18 Mar 2011
No
AC6937
FUBON BANK (HONG KONG) LIMITED
Type 9: asset management
30 Mar 2006 - 24 Mar 2008
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.