Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUI, KA YIN
Chinese Name of Relevant Individual
呂家妍
HKMA Registration Number
AC8356
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
01 May 2014 - 14 Jun 2024
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
25 May 2010 - 02 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Feb 2006 - 08 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
03 Feb 2006 - 08 May 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
03 Feb 2006 - 08 May 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
LUI, KA YIN
:
Chinese Name of Relevant Individual
呂家妍
:
HKMA Registration Number
AC8356
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8356
UBS AG
Type 1: dealing in securities
01 May 2014 - 14 Jun 2024
No
AC8356
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
25 May 2010 - 02 Apr 2014
No
AC8356
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
03 Feb 2006 - 08 May 2010
No
AC8356
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
03 Feb 2006 - 08 May 2010
No
AC8356
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
03 Feb 2006 - 08 May 2010
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.