Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WAN YI
Chinese Name of Relevant Individual
蘇韻怡
HKMA Registration Number
AF7127
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
13 Apr 2022 - 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2018 - 14 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2012 - 12 Jul 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
SO, WAN YI
:
Chinese Name of Relevant Individual
蘇韻怡
:
HKMA Registration Number
AF7127
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7127
UBS AG
Type 1: dealing in securities
13 Apr 2022 - 06 Jun 2024
No
AF7127
UBS AG
Type 1: dealing in securities
02 Nov 2018 - 14 Jul 2020
No
AF7127
SOCIETE GENERALE
Type 1: dealing in securities
01 Sep 2012 - 12 Jul 2018
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.