SHUM, HING SAN FIONA (HKMA registration number AA1453) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at UBS AG. Has been engaged at 3 authorized institutions over time.
| Registered Institution | Regulated Activity | Exec. Officer | Capacity | First engaged |
|---|---|---|---|---|
| UBS AG | RA 1 Type 1: dealing in securities | No | CLIENT ADVISOR WM | 2008-01-09 |
| UBS AG | RA 4 Type 4: advising on securities | No | CLIENT ADVISOR WM | 2014-03-08 |
| Registered Institution | SFC CE No. | Address |
|---|---|---|
| UBS AG | AEP554 | 52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG. |