Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, XI
Chinese Name of Relevant Individual
王曦
HKMA Registration Number
AF7025
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
29 Aug 2019 - 30 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2019 - 30 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Aug 2019 - 30 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2012 - 04 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2012 - 04 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Aug 2012 - 04 Aug 2014
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
WANG, XI
:
Chinese Name of Relevant Individual
王曦
:
HKMA Registration Number
AF7025
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7025
UBS AG
Type 1: dealing in securities
29 Aug 2019 - 30 Aug 2019
No
AF7025
UBS AG
Type 4: advising on securities
29 Aug 2019 - 30 Aug 2019
No
AF7025
UBS AG
Type 6: advising on corporate finance
29 Aug 2019 - 30 Aug 2019
No
AF7025
UBS AG
Type 1: dealing in securities
25 Aug 2012 - 04 Aug 2014
No
AF7025
UBS AG
Type 4: advising on securities
25 Aug 2012 - 04 Aug 2014
No
AF7025
UBS AG
Type 6: advising on corporate finance
25 Aug 2012 - 04 Aug 2014
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.