Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, ANITA OI YAN
Chinese Name of Relevant Individual
李靄欣
HKMA Registration Number
AC6461
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
19 Apr 2016 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jun 2014 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CALYON
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2005 - 19 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CALYON
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Aug 2005 - 19 Jul 2008
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
LI, ANITA OI YAN
:
Chinese Name of Relevant Individual
李靄欣
:
HKMA Registration Number
AC6461
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6461
UBS AG
Type 4: advising on securities
19 Apr 2016 - 22 Jun 2018
No
AC6461
UBS AG
Type 1: dealing in securities
04 Jun 2014 - 22 Jun 2018
No
AC6461
CALYON
Type 4: advising on securities
18 Aug 2005 - 19 Jul 2008
No
AC6461
CALYON
Type 1: dealing in securities
04 Aug 2005 - 19 Jul 2008
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.