Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, HIU LAM
Chinese Name of Relevant Individual
黃曉琳
HKMA Registration Number
AG8370
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
09 Sep 2022
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
09 Sep 2022
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 09 Sep 2022
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 09 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jun 2021 - 19 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jun 2021 - 19 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jul 2015 - 04 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
31 Jul 2015 - 04 Dec 2020
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
WONG, HIU LAM
:
Chinese Name of Relevant Individual
黃曉琳
:
HKMA Registration Number
AG8370
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
09 Sep 2022
No
PREMIUM ADVISORY SPECIALIST
UBS AG
Type 4: advising on securities
09 Sep 2022
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)
AG8370
UBS AG
Type 1: dealing in securities
Since 09 Sep 2022
No
AG8370
UBS AG
Type 4: advising on securities
Since 09 Sep 2022
No
AG8370
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
25 Jun 2021 - 19 Aug 2022
No
AG8370
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
25 Jun 2021 - 19 Aug 2022
No
AG8370
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
31 Jul 2015 - 04 Dec 2020
No
AG8370
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
31 Jul 2015 - 04 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.