Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, KA MAN JANICE
Chinese Name of Relevant Individual
黃嘉敏
HKMA Registration Number
AG7774
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
13 Sep 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIUM ADVISORY SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Sep 2019
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIUM ADVISORY SPECIALIST
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 13 Sep 2019
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 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2016 - 06 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2016 - 06 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 11 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jun 2015 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jun 2015 - 30 Sep 2016
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
WONG, KA MAN JANICE
:
Chinese Name of Relevant Individual
黃嘉敏
:
HKMA Registration Number
AG7774
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
13 Sep 2019
No
PREMIUM ADVISORY SPECIALIST
UBS AG
Type 4: advising on securities
13 Sep 2019
No
PREMIUM ADVISORY SPECIALIST
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)
AG7774
UBS AG
Type 1: dealing in securities
Since 13 Sep 2019
No
AG7774
UBS AG
Type 4: advising on securities
Since 13 Sep 2019
No
AG7774
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Oct 2016 - 06 Jun 2019
No
AG7774
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Oct 2016 - 06 Jun 2019
No
AG7774
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 11 Oct 2016
No
AG7774
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 11 Oct 2016
No
AG7774
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
04 Jun 2015 - 30 Sep 2016
No
AG7774
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
04 Jun 2015 - 30 Sep 2016
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.