Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, YUE
Chinese Name of Relevant Individual
李玥
HKMA Registration Number
AF0648
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
02 Sep 2011 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2011 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Sep 2011 - 24 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Mar 2011 - 03 Apr 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
30 Mar 2011 - 03 Apr 2011
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
LI, YUE
:
Chinese Name of Relevant Individual
李玥
:
HKMA Registration Number
AF0648
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0648
UBS AG
Type 1: dealing in securities
02 Sep 2011 - 24 Jul 2015
No
AF0648
UBS AG
Type 4: advising on securities
02 Sep 2011 - 24 Jul 2015
No
AF0648
UBS AG
Type 6: advising on corporate finance
02 Sep 2011 - 24 Jul 2015
No
AF0648
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Mar 2011 - 03 Apr 2011
No
AF0648
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Mar 2011 - 03 Apr 2011
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.