Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, TZU QUN
Chinese Name of Relevant Individual
HKMA Registration Number
AH1740
Other HKMA Registration Number(s)
AG9411
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
TORONTO-DOMINION BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2026 - 26 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NOVA SCOTIA (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2018 - 30 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NOVA SCOTIA (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
07 Apr 2018 - 30 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2016 - 11 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2015 - 23 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Oct 2015 - 23 Oct 2015
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, TZU QUN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH1740
:
Other HKMA Registration Number(s)
AG9411
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1740
TORONTO-DOMINION BANK
Type 1: dealing in securities
23 Mar 2026 - 26 Mar 2026
No
AH1740
BANK OF NOVA SCOTIA (THE)
Type 1: dealing in securities
07 Apr 2018 - 30 Apr 2023
No
AH1740
BANK OF NOVA SCOTIA (THE)
Type 4: advising on securities
07 Apr 2018 - 30 Apr 2023
No
AH1740
UBS AG
Type 1: dealing in securities
08 Jun 2016 - 11 Jan 2018
No
AG9411
UBS AG
Type 1: dealing in securities
19 Oct 2015 - 23 Oct 2015
No
AG9411
UBS AG
Type 4: advising on securities
19 Oct 2015 - 23 Oct 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.