Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, HUI
Chinese Name of Relevant Individual
馬慧
HKMA Registration Number
AG8878
Other HKMA Registration Number(s)
AG0405
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
25 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
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 25 Sep 2021
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 25 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2015 - 21 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2015 - 21 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2015 - 21 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2015 - 21 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jul 2013 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jul 2013 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jul 2013 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
22 Jul 2013 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
MA, HUI
:
Chinese Name of Relevant Individual
馬慧
:
HKMA Registration Number
AG8878
:
Other HKMA Registration Number(s)
AG0405
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
25 Sep 2021
No
CLIENT ADVISOR WM GFIW
UBS AG
Type 4: advising on securities
25 Sep 2021
No
CLIENT ADVISOR WM GFIW
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)
AG8878
UBS AG
Type 1: dealing in securities
Since 25 Sep 2021
No
AG8878
UBS AG
Type 4: advising on securities
Since 25 Sep 2021
No
AG8878
CITIBANK, N.A.
Type 1: dealing in securities
08 Sep 2015 - 21 Jul 2021
No
AG8878
CITIBANK, N.A.
Type 4: advising on securities
08 Sep 2015 - 21 Jul 2021
No
AG8878
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Sep 2015 - 21 Jul 2021
No
AG8878
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
08 Sep 2015 - 21 Jul 2021
No
AG0405
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Jul 2013 - 19 Jun 2015
No
AG0405
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Jul 2013 - 19 Jun 2015
No
AG0405
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Jul 2013 - 19 Jun 2015
No
AG0405
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
22 Jul 2013 - 19 Jun 2015
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.