Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, YAN
Chinese Name of Relevant Individual
路妍
HKMA Registration Number
AF2297
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
19 Sep 2023 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2023 - 14 Jun 2024
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
19 Sep 2023 - 14 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2011 - 29 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2011 - 29 Oct 2012
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
06 Aug 2011 - 29 Oct 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
LU, YAN
:
Chinese Name of Relevant Individual
路妍
:
HKMA Registration Number
AF2297
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2297
UBS AG
Type 1: dealing in securities
19 Sep 2023 - 14 Jun 2024
No
AF2297
UBS AG
Type 4: advising on securities
19 Sep 2023 - 14 Jun 2024
No
AF2297
UBS AG
Type 7: providing automated trading services
19 Sep 2023 - 14 Jun 2024
No
AF2297
UBS AG
Type 1: dealing in securities
06 Aug 2011 - 29 Oct 2012
No
AF2297
UBS AG
Type 4: advising on securities
06 Aug 2011 - 29 Oct 2012
No
AF2297
UBS AG
Type 6: advising on corporate finance
06 Aug 2011 - 29 Oct 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.