Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, SIN YAN SINDY
Chinese Name of Relevant Individual
黃倩欣
HKMA Registration Number
AF7148
Other HKMA Registration Number(s)
AG0676
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
Since 02 Apr 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 Apr 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
30 Jan 2021 - 31 Mar 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
30 Jan 2021 - 31 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2013 - 21 Sep 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
03 Sep 2012 - 05 Jul 2013
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
03 Sep 2012 - 05 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
WONG, SIN YAN SINDY
:
Chinese Name of Relevant Individual
黃倩欣
:
HKMA Registration Number
AF7148
:
Other HKMA Registration Number(s)
AG0676
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0676
UBS AG
Type 1: dealing in securities
Since 02 Apr 2024
No
AG0676
UBS AG
Type 4: advising on securities
Since 02 Apr 2024
No
AG0676
CREDIT SUISSE AG
Type 1: dealing in securities
30 Jan 2021 - 31 Mar 2024
No
AG0676
CREDIT SUISSE AG
Type 4: advising on securities
30 Jan 2021 - 31 Mar 2024
No
AG0676
BARCLAYS BANK PLC
Type 1: dealing in securities
15 Aug 2013 - 21 Sep 2018
No
AF7148
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Sep 2012 - 05 Jul 2013
No
AF7148
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Sep 2012 - 05 Jul 2013
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.