Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, WING YAN
Chinese Name of Relevant Individual
馬穎欣
HKMA Registration Number
AH5100
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
06 Dec 2019 - 19 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2017 - 22 Nov 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2017 - 22 Nov 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, WING YAN
:
Chinese Name of Relevant Individual
馬穎欣
:
HKMA Registration Number
AH5100
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5100
UBS AG
Type 1: dealing in securities
06 Dec 2019 - 19 May 2026
No
AH5100
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
04 Jul 2017 - 22 Nov 2019
No
AH5100
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
04 Jul 2017 - 22 Nov 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.