Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
SHUM, HOI TUNG
Chinese Name of Relevant Individual

沈海彤
HKMA Registration Number
AH8212
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
28 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ADVISOR WM GFIW
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
SHUM, HOI TUNG
:
Chinese Name of Relevant Individual
沈海彤
:
HKMA Registration Number
AH8212
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
28 Sep 2022
No
CLIENT ADVISOR WM GFIW
UBS AG
Type 4: advising on securities
28 Sep 2022
No
CLIENT ADVISOR WM GFIW