Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HUNG, TSZ YING
Chinese Name of Relevant Individual
洪芷瑩
HKMA Registration Number
AF0637
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
02 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM
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 02 Nov 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
Since 02 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Aug 2017 - 03 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Dec 2014 - 01 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Dec 2014 - 01 Jun 2017
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
09 Dec 2011 - 28 Oct 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
09 Dec 2011 - 28 Oct 2014
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
29 Mar 2011 - 28 Nov 2011
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
29 Mar 2011 - 28 Nov 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
HUNG, TSZ YING
:
Chinese Name of Relevant Individual
洪芷瑩
:
HKMA Registration Number
AF0637
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
02 Nov 2024
No
CLIENT ADVISOR WM
UBS AG
Type 4: advising on securities
02 Nov 2024
No
CLIENT ADVISOR WM
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)
AF0637
UBS AG
Type 1: dealing in securities
Since 02 Nov 2024
No
AF0637
UBS AG
Type 4: advising on securities
Since 02 Nov 2024
No
AF0637
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Aug 2017 - 03 Jun 2018
No
AF0637
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Aug 2017 - 03 Jun 2018
No
AF0637
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Aug 2017 - 03 Jun 2018
No
AF0637
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Dec 2014 - 01 Jun 2017
No
AF0637
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
20 Dec 2014 - 01 Jun 2017
No
AF0637
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Dec 2011 - 28 Oct 2014
No
AF0637
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Dec 2011 - 28 Oct 2014
No
AF0637
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
29 Mar 2011 - 28 Nov 2011
No
AF0637
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
29 Mar 2011 - 28 Nov 2011
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.