Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, YUE MAN VIVIEN
Chinese Name of Relevant Individual
伍于雯
HKMA Registration Number
AF5802
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
31 May 2024 - 07 Jun 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
31 May 2024 - 07 Jun 2024
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
22 Aug 2015 - 31 May 2024
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
22 Aug 2015 - 31 May 2024
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
03 May 2012 - 10 Jul 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
NG, YUE MAN VIVIEN
:
Chinese Name of Relevant Individual
伍于雯
:
HKMA Registration Number
AF5802
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5802
UBS AG
Type 1: dealing in securities
31 May 2024 - 07 Jun 2024
No
AF5802
UBS AG
Type 4: advising on securities
31 May 2024 - 07 Jun 2024
No
AF5802
CREDIT SUISSE AG
Type 1: dealing in securities
22 Aug 2015 - 31 May 2024
No
AF5802
CREDIT SUISSE AG
Type 4: advising on securities
22 Aug 2015 - 31 May 2024
No
AF5802
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 May 2012 - 10 Jul 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.