Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WOO, LAI MAN MANDY
Chinese Name of Relevant Individual
胡麗文
HKMA Registration Number
AG9376
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
22 Aug 2017 - 07 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIONAL AUSTRALIA BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2017 - 30 May 2017
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
27 Feb 2016 - 30 Dec 2016
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
27 Feb 2016 - 30 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2015 - 11 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Oct 2015 - 11 Feb 2016
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
WOO, LAI MAN MANDY
:
Chinese Name of Relevant Individual
胡麗文
:
HKMA Registration Number
AG9376
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9376
UBS AG
Type 1: dealing in securities
22 Aug 2017 - 07 Jul 2023
No
AG9376
NATIONAL AUSTRALIA BANK LIMITED
Type 1: dealing in securities
17 Jan 2017 - 30 May 2017
No
AG9376
CREDIT SUISSE AG
Type 1: dealing in securities
27 Feb 2016 - 30 Dec 2016
No
AG9376
CREDIT SUISSE AG
Type 4: advising on securities
27 Feb 2016 - 30 Dec 2016
No
AG9376
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Oct 2015 - 11 Feb 2016
No
AG9376
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
15 Oct 2015 - 11 Feb 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.