Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, WANLI
Chinese Name of Relevant Individual
李万里
HKMA Registration Number
AF1159
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 May 2011 - 09 Mar 2014
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 May 2011 - 12 Nov 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 May 2011 - 12 Nov 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, WANLI
:
Chinese Name of Relevant Individual
李万里
:
HKMA Registration Number
AF1159
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1159
UBS AG
Type 1: dealing in securities
13 May 2011 - 09 Mar 2014
No
AF1159
UBS AG
Type 4: advising on securities
13 May 2011 - 12 Nov 2012
No
AF1159
UBS AG
Type 7: providing automated trading services
13 May 2011 - 12 Nov 2012
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.