Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SHIH HSIN
Chinese Name of Relevant Individual
李世欣
HKMA Registration Number
AC5001
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 4: advising on securities
Effective Period
27 Feb 2014 - 16 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Nov 2011 - 16 Jan 2020
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
12 Mar 2005 - 07 Nov 2011
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
12 Mar 2005 - 07 Nov 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
LEE, SHIH HSIN
:
Chinese Name of Relevant Individual
李世欣
:
HKMA Registration Number
AC5001
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5001
UBS AG
Type 4: advising on securities
27 Feb 2014 - 16 Jan 2020
No
AC5001
UBS AG
Type 1: dealing in securities
24 Nov 2011 - 16 Jan 2020
No
AC5001
CREDIT SUISSE AG
Type 1: dealing in securities
12 Mar 2005 - 07 Nov 2011
No
AC5001
CREDIT SUISSE AG
Type 4: advising on securities
12 Mar 2005 - 07 Nov 2011
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.