Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, TO MAN
Chinese Name of Relevant Individual
黃韜文
HKMA Registration Number
AF0194
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 Jul 2021 - 18 Oct 2024
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 Jul 2021 - 18 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
06 Jul 2021 - 05 Sep 2024
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
12 Mar 2019 - 30 Apr 2019
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
12 Mar 2019 - 30 Apr 2019
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
12 Mar 2019 - 30 Apr 2019
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
12 Mar 2019 - 30 Apr 2019
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
23 Oct 2017 - 14 Dec 2018
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
23 Oct 2017 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2017 - 20 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2015 - 20 Oct 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2012 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2011 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2011 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, TO MAN
:
Chinese Name of Relevant Individual
黃韜文
:
HKMA Registration Number
AF0194
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0194
UBS AG
Type 1: dealing in securities
06 Jul 2021 - 18 Oct 2024
No
AF0194
UBS AG
Type 4: advising on securities
06 Jul 2021 - 18 Oct 2024
No
AF0194
UBS AG
Type 7: providing automated trading services
06 Jul 2021 - 05 Sep 2024
No
AF0194
CITIBANK, N.A.
Type 1: dealing in securities
12 Mar 2019 - 30 Apr 2019
No
AF0194
CITIBANK, N.A.
Type 4: advising on securities
12 Mar 2019 - 30 Apr 2019
No
AF0194
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
12 Mar 2019 - 30 Apr 2019
No
AF0194
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
12 Mar 2019 - 30 Apr 2019
No
AF0194
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Oct 2017 - 14 Dec 2018
No
AF0194
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Oct 2017 - 14 Dec 2018
No
AF0194
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
02 Jun 2017 - 20 Oct 2017
No
AF0194
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
16 Nov 2015 - 20 Oct 2017
No
AF0194
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
21 Mar 2012 - 13 Nov 2015
No
AF0194
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
01 Mar 2011 - 13 Nov 2015
No
AF0194
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
01 Mar 2011 - 13 Nov 2015
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.