Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YI
Chinese Name of Relevant Individual
李怡
HKMA Registration Number
AC8268
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
30 Jul 2013 - 10 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jul 2013 - 10 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
30 Jul 2013 - 07 Dec 2016
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 Aug 2010 - 18 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Aug 2010 - 18 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
13 Aug 2010 - 18 Oct 2012
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
07 Jul 2008 - 18 Jun 2010
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
07 Jul 2008 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 5: advising on futures contracts
Effective Period
07 Jul 2008 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 9: asset management
Effective Period
07 Jul 2008 - 18 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jan 2007 - 17 Jul 2008
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jan 2007 - 17 Jul 2008
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jan 2006 - 25 Jan 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2006 - 25 Jan 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
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, YI
:
Chinese Name of Relevant Individual
李怡
:
HKMA Registration Number
AC8268
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8268
UBS AG
Type 1: dealing in securities
30 Jul 2013 - 10 Aug 2023
No
AC8268
UBS AG
Type 4: advising on securities
30 Jul 2013 - 10 Aug 2023
No
AC8268
UBS AG
Type 9: asset management
30 Jul 2013 - 07 Dec 2016
No
AC8268
UBS AG
Type 1: dealing in securities
13 Aug 2010 - 18 Oct 2012
No
AC8268
UBS AG
Type 4: advising on securities
13 Aug 2010 - 18 Oct 2012
No
AC8268
UBS AG
Type 9: asset management
13 Aug 2010 - 18 Oct 2012
No
AC8268
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
07 Jul 2008 - 18 Jun 2010
No
AC8268
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
07 Jul 2008 - 18 Jun 2010
No
AC8268
HSBC PRIVATE BANK (SUISSE) SA
Type 5: advising on futures contracts
07 Jul 2008 - 18 Jun 2010
No
AC8268
HSBC PRIVATE BANK (SUISSE) SA
Type 9: asset management
07 Jul 2008 - 18 Jun 2010
No
AC8268
BANK SINOPAC
Type 1: dealing in securities
26 Jan 2007 - 17 Jul 2008
Yes
AC8268
BANK SINOPAC
Type 4: advising on securities
26 Jan 2007 - 17 Jul 2008
Yes
AC8268
BANK SINOPAC
Type 1: dealing in securities
21 Jan 2006 - 25 Jan 2007
No
AC8268
BANK SINOPAC
Type 4: advising on securities
21 Jan 2006 - 25 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.