Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, CHI MING
Chinese Name of Relevant Individual
李志明
HKMA Registration Number
AC5612
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
20 Nov 2014 - 19 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Nov 2014 - 19 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Oct 2009 - 08 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Aug 2007 - 21 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
10 Aug 2007 - 21 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Apr 2007 - 15 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
25 Apr 2007 - 15 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
18 Nov 2005 - 30 Mar 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2005 - 30 Mar 2007
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
LEE, CHI MING
:
Chinese Name of Relevant Individual
李志明
:
HKMA Registration Number
AC5612
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5612
UBS AG
Type 1: dealing in securities
20 Nov 2014 - 19 Apr 2021
No
AC5612
UBS AG
Type 4: advising on securities
20 Nov 2014 - 19 Apr 2021
No
AC5612
UBS AG
Type 1: dealing in securities
13 Oct 2009 - 08 Nov 2010
No
AC5612
UBS AG
Type 1: dealing in securities
10 Aug 2007 - 21 Apr 2009
No
AC5612
UBS AG
Type 4: advising on securities
10 Aug 2007 - 21 Apr 2009
No
AC5612
CREDIT SUISSE
Type 1: dealing in securities
25 Apr 2007 - 15 Jul 2007
No
AC5612
CREDIT SUISSE
Type 4: advising on securities
25 Apr 2007 - 15 Jul 2007
No
AC5612
BARCLAYS BANK PLC
Type 4: advising on securities
18 Nov 2005 - 30 Mar 2007
No
AC5612
BARCLAYS BANK PLC
Type 1: dealing in securities
10 May 2005 - 30 Mar 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.