Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
POON, KA WAI RAYMOND
Chinese Name of Relevant Individual

潘家偉
HKMA Registration Number
AI9784
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
13 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
13 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
POON, KA WAI RAYMOND
:
Chinese Name of Relevant Individual
潘家偉
:
HKMA Registration Number
AI9784
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
13 Jul 2022
No
PRODUCT SPECIALIST
UBS AG
Type 4: advising on securities
13 Jul 2022
No
PRODUCT SPECIALIST