Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, HUNG SHEN
Chinese Name of Relevant Individual
吳泓伸
HKMA Registration Number
AH4161
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
24 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SALESPERSON
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 24 Aug 2023
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 24 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
24 Aug 2023 - 05 Sep 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2021 - 30 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ICICI BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2019 - 28 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHANG HWA COMMERCIAL BANK, LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Mar 2017 - 29 Mar 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
WU, HUNG SHEN
:
Chinese Name of Relevant Individual
吳泓伸
:
HKMA Registration Number
AH4161
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
24 Aug 2023
No
SALESPERSON
UBS AG
Type 4: advising on securities
24 Aug 2023
No
SALESPERSON
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)
AH4161
UBS AG
Type 1: dealing in securities
Since 24 Aug 2023
No
AH4161
UBS AG
Type 4: advising on securities
Since 24 Aug 2023
No
AH4161
UBS AG
Type 7: providing automated trading services
24 Aug 2023 - 05 Sep 2024
No
AH4161
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
13 Nov 2021 - 30 Jun 2023
No
AH4161
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
13 Nov 2021 - 30 Jun 2023
No
AH4161
ICICI BANK LIMITED
Type 1: dealing in securities
15 Sep 2019 - 28 Oct 2021
No
AH4161
CHANG HWA COMMERCIAL BANK, LTD.
Type 1: dealing in securities
13 Mar 2017 - 29 Mar 2019
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.