Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KEI YAU
Chinese Name of Relevant Individual
吳紀柔
HKMA Registration Number
AI7644
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
18 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER GFIW
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 18 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2024 - 17 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 May 2024 - 17 Apr 2025
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
09 Sep 2021 - 15 Mar 2024
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
09 Sep 2021 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2021 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2021 - 15 Mar 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
NG, KEI YAU
:
Chinese Name of Relevant Individual
吳紀柔
:
HKMA Registration Number
AI7644
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
18 Mar 2026
No
CLIENT ACCOUNT MANAGER GFIW
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)
AI7644
UBS AG
Type 1: dealing in securities
Since 18 Mar 2026
No
AI7644
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
01 May 2024 - 17 Apr 2025
No
AI7644
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
01 May 2024 - 17 Apr 2025
No
AI7644
CITIBANK, N.A.
Type 1: dealing in securities
09 Sep 2021 - 15 Mar 2024
No
AI7644
CITIBANK, N.A.
Type 4: advising on securities
09 Sep 2021 - 15 Mar 2024
No
AI7644
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Sep 2021 - 15 Mar 2024
No
AI7644
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
09 Sep 2021 - 15 Mar 2024
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.