Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUI, SHUK KUEN
Chinese Name of Relevant Individual
呂淑娟
HKMA Registration Number
AA2235
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
13 Feb 2018
Is an Executive Officer? (Yes / No)
No
Capacity
WM P&Q SPECIALIST FRONT SUP
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 13 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jul 2015 - 21 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2015 - 21 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2012 - 30 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
27 Jul 2012 - 30 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 03 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 03 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 03 Apr 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 10 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LUI, SHUK KUEN
:
Chinese Name of Relevant Individual
呂淑娟
:
HKMA Registration Number
AA2235
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
13 Feb 2018
No
WM P&Q SPECIALIST FRONT SUP
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)
AA2235
UBS AG
Type 1: dealing in securities
Since 13 Feb 2018
No
AA2235
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Jul 2015 - 21 Jan 2018
No
AA2235
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Jul 2015 - 21 Jan 2018
No
AA2235
WING LUNG BANK LIMITED
Type 1: dealing in securities
27 Jul 2012 - 30 Jun 2015
No
AA2235
WING LUNG BANK LIMITED
Type 4: advising on securities
27 Jul 2012 - 30 Jun 2015
No
AA2235
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 03 Apr 2005
No
AA2235
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 03 Apr 2005
No
AA2235
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 03 Apr 2005
No
AA2235
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 2005
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.