Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, HIU LULU
Chinese Name of Relevant Individual
陳曉
HKMA Registration Number
AC6871
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 Jan 2007 - 11 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2005 - 07 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WESTPAC BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Sep 2005 - 07 Jan 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
CHAN, HIU LULU
:
Chinese Name of Relevant Individual
陳曉
:
HKMA Registration Number
AC6871
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6871
UBS AG
Type 1: dealing in securities
18 Jan 2007 - 11 Sep 2009
No
AC6871
WESTPAC BANKING CORPORATION
Type 1: dealing in securities
10 Sep 2005 - 07 Jan 2007
No
AC6871
WESTPAC BANKING CORPORATION
Type 4: advising on securities
10 Sep 2005 - 07 Jan 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.