Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WAT, CHUNG YIN JANICE
Chinese Name of Relevant Individual
屈頌然
HKMA Registration Number
AD0119
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
15 Sep 2016 - 05 Jul 2022
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 Sep 2016 - 05 Jul 2022
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
09 Jun 2014 - 24 Aug 2016
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
09 Jun 2014 - 24 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2006 - 11 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
WAT, CHUNG YIN JANICE
:
Chinese Name of Relevant Individual
屈頌然
:
HKMA Registration Number
AD0119
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0119
UBS AG
Type 1: dealing in securities
15 Sep 2016 - 05 Jul 2022
No
AD0119
UBS AG
Type 4: advising on securities
15 Sep 2016 - 05 Jul 2022
No
AD0119
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
09 Jun 2014 - 24 Aug 2016
No
AD0119
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
09 Jun 2014 - 24 Aug 2016
No
AD0119
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 1: dealing in securities
20 Jul 2006 - 11 Apr 2013
No
AD0119
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 1: dealing in securities
14 Jul 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.