Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
YIM, WAI SUM
Chinese Name of Relevant Individual

嚴慧琛
HKMA Registration Number
AJ9138
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
06 Mar 2026
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
YIM, WAI SUM
:
Chinese Name of Relevant Individual
嚴慧琛
:
HKMA Registration Number
AJ9138
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Mar 2026
No
CLIENT ACCOUNT MANAGER