Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, SI JIE
Chinese Name of Relevant Individual
HKMA Registration Number
AG4548
Other HKMA Registration Number(s)
AG5598
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 31 May 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 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
21 Nov 2014 - 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
21 Nov 2014 - 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
21 Aug 2014 - 20 Nov 2014
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
21 Aug 2014 - 20 Nov 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, SI JIE
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4548
:
Other HKMA Registration Number(s)
AG5598
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5598
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AG5598
UBS AG
Type 4: advising on securities
Since 31 May 2024
No
AG5598
CREDIT SUISSE AG
Type 1: dealing in securities
21 Nov 2014 - 31 May 2024
No
AG5598
CREDIT SUISSE AG
Type 4: advising on securities
21 Nov 2014 - 31 May 2024
No
AG4548
CREDIT SUISSE AG
Type 1: dealing in securities
21 Aug 2014 - 20 Nov 2014
No
AG4548
CREDIT SUISSE AG
Type 4: advising on securities
21 Aug 2014 - 20 Nov 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.
