Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, PETER MAN KIT
Chinese Name of Relevant Individual
李文傑
HKMA Registration Number
AC9681
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
27 Feb 2020 - 15 Nov 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
27 Feb 2020 - 15 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2006 - 15 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Jul 2006 - 15 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Jun 2006 - 13 Jul 2006
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
LEE, PETER MAN KIT
:
Chinese Name of Relevant Individual
李文傑
:
HKMA Registration Number
AC9681
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9681
UBS AG
Type 1: dealing in securities
27 Feb 2020 - 15 Nov 2021
No
AC9681
UBS AG
Type 4: advising on securities
27 Feb 2020 - 15 Nov 2021
No
AC9681
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 1: dealing in securities
02 Aug 2006 - 15 Dec 2006
No
AC9681
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 6: advising on corporate finance
20 Jul 2006 - 15 Dec 2006
No
AC9681
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 6: advising on corporate finance
10 Jun 2006 - 13 Jul 2006
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.