Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, WAI SZE
Chinese Name of Relevant Individual
李慧詩
HKMA Registration Number
AF6339
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
08 Jun 2018
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER GFIW
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 08 Jun 2018
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
27 Apr 2017 - 05 May 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
27 Apr 2017 - 05 May 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
23 Jun 2012 - 09 Apr 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
23 Jun 2012 - 09 Apr 2017
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
LEE, WAI SZE
:
Chinese Name of Relevant Individual
李慧詩
:
HKMA Registration Number
AF6339
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
08 Jun 2018
No
CLIENT ACCOUNT MANAGER GFIW
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)
AF6339
UBS AG
Type 1: dealing in securities
Since 08 Jun 2018
No
AF6339
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
27 Apr 2017 - 05 May 2018
No
AF6339
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
27 Apr 2017 - 05 May 2018
No
AF6339
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jun 2012 - 09 Apr 2017
No
AF6339
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Jun 2012 - 09 Apr 2017
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.