Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, SHU YING JUSTINA
Chinese Name of Relevant Individual
李杼凝
HKMA Registration Number
AF0264
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
13 Sep 2017 - 12 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2016 - 08 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 May 2016 - 08 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Feb 2016 - 22 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
01 Feb 2016 - 22 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2013 - 14 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2013 - 14 Mar 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Mar 2011 - 03 Jul 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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, SHU YING JUSTINA
:
Chinese Name of Relevant Individual
李杼凝
:
HKMA Registration Number
AF0264
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0264
UBS AG
Type 1: dealing in securities
13 Sep 2017 - 12 Jan 2018
No
AF0264
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 May 2016 - 08 Jun 2017
No
AF0264
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 May 2016 - 08 Jun 2017
No
AF0264
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Feb 2016 - 22 Apr 2016
No
AF0264
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
01 Feb 2016 - 22 Apr 2016
No
AF0264
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
09 Jul 2013 - 14 Mar 2014
No
AF0264
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Jul 2013 - 14 Mar 2014
No
AF0264
UBS AG
Type 1: dealing in securities
05 Mar 2011 - 03 Jul 2013
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.