Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, HSING YI
Chinese Name of Relevant Individual
吳幸頤
HKMA Registration Number
AG1031
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
28 May 2015
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 28 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2014 - 31 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Aug 2014 - 31 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Mar 2014 - 15 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK MORGAN STANLEY AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Mar 2014 - 15 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Feb 2014 - 05 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 4: advising on securities
Effective Period
13 Feb 2014 - 05 Mar 2014
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
12 Sep 2013 - 20 Jan 2014
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
12 Sep 2013 - 20 Jan 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
WU, HSING YI
:
Chinese Name of Relevant Individual
吳幸頤
:
HKMA Registration Number
AG1031
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
28 May 2015
No
CLIENT ACCOUNT MANAGER
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)
AG1031
UBS AG
Type 1: dealing in securities
Since 28 May 2015
No
AG1031
WING LUNG BANK LIMITED
Type 1: dealing in securities
28 Aug 2014 - 31 Mar 2015
No
AG1031
WING LUNG BANK LIMITED
Type 4: advising on securities
28 Aug 2014 - 31 Mar 2015
No
AG1031
BANK MORGAN STANLEY AG
Type 1: dealing in securities
15 Mar 2014 - 15 Apr 2014
No
AG1031
BANK MORGAN STANLEY AG
Type 2: dealing in futures contracts
15 Mar 2014 - 15 Apr 2014
No
AG1031
EAST WEST BANK
Type 1: dealing in securities
13 Feb 2014 - 05 Mar 2014
No
AG1031
EAST WEST BANK
Type 4: advising on securities
13 Feb 2014 - 05 Mar 2014
No
AG1031
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Sep 2013 - 20 Jan 2014
No
AG1031
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Sep 2013 - 20 Jan 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.