Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YIM LING ALICE
Chinese Name of Relevant Individual
李艷玲
HKMA Registration Number
AA2576
Current Registration
Not Applicable
Business Address
Not Applicable
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
31 May 2024 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2015 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2012 - 22 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2012 - 22 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 16 Apr 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
LI, YIM LING ALICE
:
Chinese Name of Relevant Individual
李艷玲
:
HKMA Registration Number
AA2576
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2576
UBS AG
Type 1: dealing in securities
31 May 2024 - 30 Apr 2025
No
AA2576
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Apr 2025
No
AA2576
CREDIT SUISSE AG
Type 1: dealing in securities
19 Mar 2015 - 31 May 2024
No
AA2576
CREDIT SUISSE AG
Type 4: advising on securities
19 Mar 2015 - 31 May 2024
No
AA2576
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
13 Apr 2012 - 22 Aug 2014
No
AA2576
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
13 Apr 2012 - 22 Aug 2014
No
AA2576
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 Apr 2003 - 16 Apr 2009
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.