Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SU, WEN
Chinese Name of Relevant Individual
蘇雯
HKMA Registration Number
AI2528
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
27 Jan 2023 - 18 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jan 2023 - 18 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Feb 2021 - 11 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Feb 2021 - 11 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Aug 2019 - 20 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Aug 2019 - 20 Jan 2021
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
SU, WEN
:
Chinese Name of Relevant Individual
蘇雯
:
HKMA Registration Number
AI2528
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2528
UBS AG
Type 1: dealing in securities
27 Jan 2023 - 18 Mar 2024
No
AI2528
UBS AG
Type 4: advising on securities
27 Jan 2023 - 18 Mar 2024
No
AI2528
CREDIT SUISSE AG
Type 1: dealing in securities
12 Feb 2021 - 11 Nov 2022
No
AI2528
CREDIT SUISSE AG
Type 4: advising on securities
12 Feb 2021 - 11 Nov 2022
No
AI2528
CITIBANK, N.A.
Type 1: dealing in securities
21 Aug 2019 - 20 Jan 2021
No
AI2528
CITIBANK, N.A.
Type 4: advising on securities
21 Aug 2019 - 20 Jan 2021
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.