Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
NG, CHI SUM
Chinese Name of Relevant Individual

吳志森
HKMA Registration Number
AJ1732
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
08 Mar 2023
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
08 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
First date of engagement
08 Mar 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRODUCT SPECIALIST
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
NG, CHI SUM
:
Chinese Name of Relevant Individual
吳志森
:
HKMA Registration Number
AJ1732
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
08 Mar 2023
No
PRODUCT SPECIALIST
UBS AG
Type 4: advising on securities
08 Mar 2023
No
PRODUCT SPECIALIST
UBS AG
Type 9: asset management
08 Mar 2023
No
PRODUCT SPECIALIST