Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SUET LI
Chinese Name of Relevant Individual
吳雪莉
HKMA Registration Number
AC5115
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
06 Dec 2017
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER GFIW
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 06 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jun 2017 - 15 Nov 2017
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
24 Mar 2014 - 15 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Aug 2013 - 20 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Aug 2013 - 20 Mar 2014
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
10 Nov 2012 - 23 Jul 2013
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
10 Nov 2012 - 23 Jul 2013
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
21 Jun 2007 - 19 Sep 2012
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
10 May 2007 - 15 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2005 - 02 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2005 - 02 May 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
NG, SUET LI
:
Chinese Name of Relevant Individual
吳雪莉
:
HKMA Registration Number
AC5115
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Dec 2017
No
CLIENT ACCOUNT MANAGER GFIW
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)
AC5115
UBS AG
Type 1: dealing in securities
Since 06 Dec 2017
No
AC5115
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
09 Jun 2017 - 15 Nov 2017
No
AC5115
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
24 Mar 2014 - 15 Nov 2017
No
AC5115
COUTTS & CO AG
Type 1: dealing in securities
14 Aug 2013 - 20 Mar 2014
No
AC5115
COUTTS & CO AG
Type 4: advising on securities
14 Aug 2013 - 20 Mar 2014
No
AC5115
CREDIT SUISSE AG
Type 1: dealing in securities
10 Nov 2012 - 23 Jul 2013
No
AC5115
CREDIT SUISSE AG
Type 4: advising on securities
10 Nov 2012 - 23 Jul 2013
No
AC5115
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
21 Jun 2007 - 19 Sep 2012
No
AC5115
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
10 May 2007 - 15 Jun 2007
No
AC5115
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
21 Mar 2005 - 02 May 2007
No
AC5115
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
21 Mar 2005 - 02 May 2007
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.