Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XIAOZHOU
Chinese Name of Relevant Individual
李小舟
HKMA Registration Number
AF7102
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 Aug 2013 - 26 Jun 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
19 Aug 2013 - 26 Jun 2015
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 Aug 2013 - 26 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Aug 2012 - 03 Jan 2013
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
31 Aug 2012 - 03 Jan 2013
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, XIAOZHOU
:
Chinese Name of Relevant Individual
李小舟
:
HKMA Registration Number
AF7102
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7102
UBS AG
Type 1: dealing in securities
19 Aug 2013 - 26 Jun 2015
No
AF7102
UBS AG
Type 4: advising on securities
19 Aug 2013 - 26 Jun 2015
No
AF7102
UBS AG
Type 7: providing automated trading services
19 Aug 2013 - 26 Jun 2015
No
AF7102
UBS AG
Type 1: dealing in securities
31 Aug 2012 - 03 Jan 2013
No
AF7102
UBS AG
Type 7: providing automated trading services
31 Aug 2012 - 03 Jan 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.