Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHUN, WAI KIU
Chinese Name of Relevant Individual
秦為翹
HKMA Registration Number
AF9344
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
02 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
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 02 Feb 2023
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 Feb 2023
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
02 Jan 2024 - 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
02 Jan 2024 - 31 May 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
02 Feb 2021 - 21 Oct 2022
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
02 Feb 2021 - 21 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Mar 2013 - 18 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
26 Mar 2013 - 18 Dec 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
CHUN, WAI KIU
:
Chinese Name of Relevant Individual
秦為翹
:
HKMA Registration Number
AF9344
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
02 Feb 2023
No
WM CA DESK HEAD
UBS AG
Type 4: advising on securities
02 Feb 2023
No
WM CA DESK HEAD
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)
AF9344
UBS AG
Type 1: dealing in securities
Since 02 Feb 2023
No
AF9344
UBS AG
Type 4: advising on securities
Since 02 Feb 2023
No
AF9344
CREDIT SUISSE AG
Type 1: dealing in securities
02 Jan 2024 - 31 May 2024
No
AF9344
CREDIT SUISSE AG
Type 4: advising on securities
02 Jan 2024 - 31 May 2024
No
AF9344
CREDIT SUISSE AG
Type 1: dealing in securities
02 Feb 2021 - 21 Oct 2022
No
AF9344
CREDIT SUISSE AG
Type 4: advising on securities
02 Feb 2021 - 21 Oct 2022
No
AF9344
CITIBANK, N.A.
Type 1: dealing in securities
26 Mar 2013 - 18 Dec 2020
No
AF9344
CITIBANK, N.A.
Type 4: advising on securities
26 Mar 2013 - 18 Dec 2020
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.