Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YU, WAI SUN
Chinese Name of Relevant Individual
余維新
HKMA Registration Number
AG8718
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
31 May 2024 - 06 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 06 Jun 2025
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
11 Nov 2020 - 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
11 Nov 2020 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2019 - 05 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Feb 2019 - 05 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2015 - 22 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2015 - 22 Jan 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Aug 2015 - 22 Jan 2016
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
YU, WAI SUN
:
Chinese Name of Relevant Individual
余維新
:
HKMA Registration Number
AG8718
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8718
UBS AG
Type 1: dealing in securities
31 May 2024 - 06 Jun 2025
No
AG8718
UBS AG
Type 4: advising on securities
31 May 2024 - 06 Jun 2025
No
AG8718
CREDIT SUISSE AG
Type 1: dealing in securities
11 Nov 2020 - 31 May 2024
No
AG8718
CREDIT SUISSE AG
Type 4: advising on securities
11 Nov 2020 - 31 May 2024
No
AG8718
EFG BANK AG
Type 1: dealing in securities
27 Feb 2019 - 05 Jul 2020
No
AG8718
EFG BANK AG
Type 4: advising on securities
27 Feb 2019 - 05 Jul 2020
No
AG8718
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Aug 2015 - 22 Jan 2016
No
AG8718
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Aug 2015 - 22 Jan 2016
No
AG8718
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
25 Aug 2015 - 22 Jan 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.