Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, KA YEE
Chinese Name of Relevant Individual
盧嘉儀
HKMA Registration Number
AF3138
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER GFIW
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 22 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
09 Nov 2019 - 11 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2019 - 11 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 May 2015 - 23 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2014 - 20 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jun 2014 - 20 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2011 - 06 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2011 - 06 Apr 2014
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
LO, KA YEE
:
Chinese Name of Relevant Individual
盧嘉儀
:
HKMA Registration Number
AF3138
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
22 Apr 2021
No
CLIENT ACCOUNT MANAGER GFIW
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3138
UBS AG
Type 1: dealing in securities
Since 22 Apr 2021
No
AF3138
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
09 Nov 2019 - 11 Apr 2021
No
AF3138
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
31 Oct 2019 - 11 Apr 2021
No
AF3138
UBS AG
Type 1: dealing in securities
13 May 2015 - 23 Aug 2019
No
AF3138
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jun 2014 - 20 Apr 2015
No
AF3138
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jun 2014 - 20 Apr 2015
No
AF3138
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Sep 2011 - 06 Apr 2014
No
AF3138
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Sep 2011 - 06 Apr 2014
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.