Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, KAI WING
Chinese Name of Relevant Individual
吳佳泳
HKMA Registration Number
AH7543
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
03 Nov 2020
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 03 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2020 - 06 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jul 2020 - 06 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2018 - 21 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Apr 2018 - 21 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
04 Apr 2018 - 21 Jun 2020
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
WU, KAI WING
:
Chinese Name of Relevant Individual
吳佳泳
:
HKMA Registration Number
AH7543
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
03 Nov 2020
No
CLIENT ACCOUNT MANAGER
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)
AH7543
UBS AG
Type 1: dealing in securities
Since 03 Nov 2020
No
AH7543
DAH SING BANK, LIMITED
Type 1: dealing in securities
15 Jul 2020 - 06 Oct 2020
No
AH7543
DAH SING BANK, LIMITED
Type 4: advising on securities
15 Jul 2020 - 06 Oct 2020
No
AH7543
HANG SENG BANK, LIMITED
Type 1: dealing in securities
04 Apr 2018 - 21 Jun 2020
No
AH7543
HANG SENG BANK, LIMITED
Type 4: advising on securities
04 Apr 2018 - 21 Jun 2020
No
AH7543
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
04 Apr 2018 - 21 Jun 2020
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.