Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SONG, CI
Chinese Name of Relevant Individual
宋辞
HKMA Registration Number
AI6028
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
24 Feb 2021 - 03 May 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
24 Feb 2021 - 03 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Feb 2021 - 03 May 2023
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
SONG, CI
:
Chinese Name of Relevant Individual
宋辞
:
HKMA Registration Number
AI6028
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI6028
UBS AG
Type 1: dealing in securities
24 Feb 2021 - 03 May 2023
No
AI6028
UBS AG
Type 4: advising on securities
24 Feb 2021 - 03 May 2023
No
AI6028
UBS AG
Type 6: advising on corporate finance
24 Feb 2021 - 03 May 2023
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.