Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, TSZ HEI HERBERT
Chinese Name of Relevant Individual
黃子熙
HKMA Registration Number
AC9605
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INSIGHTS LAB STRATEGIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
INSIGHTS LAB STRATEGIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Nov 2022
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
Since 14 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Aug 2016 - 18 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Aug 2016 - 18 Dec 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
15 Jan 2016 - 20 Jun 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
15 Jan 2016 - 20 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
15 Jan 2016 - 20 Jun 2016
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
23 Aug 2014 - 09 Dec 2015
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
23 Aug 2014 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2006 - 11 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2006 - 11 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jun 2006 - 11 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2006 - 11 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, TSZ HEI HERBERT
:
Chinese Name of Relevant Individual
黃子熙
:
HKMA Registration Number
AC9605
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Nov 2022
No
INSIGHTS LAB STRATEGIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Nov 2022
No
INSIGHTS LAB STRATEGIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 14 Nov 2022
No
AC9605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 14 Nov 2022
No
AC9605
CREDIT SUISSE AG
Type 1: dealing in securities
27 Aug 2016 - 18 Dec 2016
No
AC9605
CREDIT SUISSE AG
Type 4: advising on securities
27 Aug 2016 - 18 Dec 2016
No
AC9605
UBS AG
Type 1: dealing in securities
15 Jan 2016 - 20 Jun 2016
No
AC9605
UBS AG
Type 4: advising on securities
15 Jan 2016 - 20 Jun 2016
No
AC9605
UBS AG
Type 9: asset management
15 Jan 2016 - 20 Jun 2016
No
AC9605
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 1: dealing in securities
23 Aug 2014 - 09 Dec 2015
No
AC9605
EDMOND DE ROTHSCHILD (SUISSE) S.A.
Type 4: advising on securities
23 Aug 2014 - 09 Dec 2015
No
AC9605
CITIBANK, N.A.
Type 1: dealing in securities
06 Jun 2006 - 11 Jul 2014
No
AC9605
CITIBANK, N.A.
Type 4: advising on securities
06 Jun 2006 - 11 Jul 2014
No
AC9605
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Jun 2006 - 11 Jul 2014
No
AC9605
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2006 - 11 Jul 2014
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.