Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, YING YUEN PHOENIX
Chinese Name of Relevant Individual
王瑩鵷
HKMA Registration Number
AC7669
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
11 Dec 2013
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 11 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2011 - 29 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2011 - 29 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2008 - 07 Mar 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
RBS COUTTS BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2007 - 07 Mar 2011
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
19 Nov 2005 - 27 Sep 2007
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
19 Nov 2005 - 27 Sep 2007
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
WONG, YING YUEN PHOENIX
:
Chinese Name of Relevant Individual
王瑩鵷
:
HKMA Registration Number
AC7669
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
11 Dec 2013
No
CLIENT ACCOUNT MANAGER
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)
AC7669
UBS AG
Type 1: dealing in securities
Since 11 Dec 2013
No
AC7669
BARCLAYS BANK PLC
Type 1: dealing in securities
09 Mar 2011 - 29 Nov 2013
No
AC7669
BARCLAYS BANK PLC
Type 4: advising on securities
09 Mar 2011 - 29 Nov 2013
No
AC7669
RBS COUTTS BANK AG
Type 4: advising on securities
01 Sep 2008 - 07 Mar 2011
No
AC7669
RBS COUTTS BANK AG
Type 1: dealing in securities
25 Sep 2007 - 07 Mar 2011
No
AC7669
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Nov 2005 - 27 Sep 2007
No
AC7669
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Nov 2005 - 27 Sep 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.