Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, MO YEE
Chinese Name of Relevant Individual
林慕怡
HKMA Registration Number
AC0043
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
18 Apr 2015 - 30 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Feb 2012 - 30 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Feb 2012 - 30 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2005 - 23 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Aug 2005 - 23 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2003 - 16 Jun 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Jun 2003 - 16 Jun 2004
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
LAM, MO YEE
:
Chinese Name of Relevant Individual
林慕怡
:
HKMA Registration Number
AC0043
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0043
UBS AG
Type 1: dealing in securities
18 Apr 2015 - 30 Nov 2015
No
AC0043
UBS AG
Type 4: advising on securities
24 Feb 2012 - 30 Nov 2015
Yes
AC0043
UBS AG
Type 6: advising on corporate finance
24 Feb 2012 - 30 Nov 2015
Yes
AC0043
UBS AG
Type 4: advising on securities
04 Aug 2005 - 23 Feb 2012
No
AC0043
UBS AG
Type 6: advising on corporate finance
04 Aug 2005 - 23 Feb 2012
No
AC0043
UBS AG
Type 4: advising on securities
09 Jun 2003 - 16 Jun 2004
No
AC0043
UBS AG
Type 6: advising on corporate finance
09 Jun 2003 - 16 Jun 2004
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.