Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, ROBERT
Chinese Name of Relevant Individual
HKMA Registration Number
AF8338
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
09 Feb 2017 - 30 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Feb 2017 - 30 Mar 2018
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
09 Feb 2017 - 30 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2016 - 14 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Nov 2016 - 14 Nov 2016
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
11 Nov 2016 - 14 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2016 - 07 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2016 - 07 Oct 2016
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
04 Oct 2016 - 07 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2016 - 27 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
26 Sep 2016 - 27 Sep 2016
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
26 Sep 2016 - 27 Sep 2016
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 Jul 2016 - 08 Jul 2016
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 Jul 2016 - 08 Jul 2016
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 Jul 2016 - 08 Jul 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
LEE, ROBERT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF8338
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8338
UBS AG
Type 1: dealing in securities
09 Feb 2017 - 30 Mar 2018
No
AF8338
UBS AG
Type 4: advising on securities
09 Feb 2017 - 30 Mar 2018
No
AF8338
UBS AG
Type 6: advising on corporate finance
09 Feb 2017 - 30 Mar 2018
No
AF8338
UBS AG
Type 1: dealing in securities
11 Nov 2016 - 14 Nov 2016
No
AF8338
UBS AG
Type 4: advising on securities
11 Nov 2016 - 14 Nov 2016
No
AF8338
UBS AG
Type 6: advising on corporate finance
11 Nov 2016 - 14 Nov 2016
No
AF8338
UBS AG
Type 1: dealing in securities
04 Oct 2016 - 07 Oct 2016
No
AF8338
UBS AG
Type 4: advising on securities
04 Oct 2016 - 07 Oct 2016
No
AF8338
UBS AG
Type 6: advising on corporate finance
04 Oct 2016 - 07 Oct 2016
No
AF8338
UBS AG
Type 1: dealing in securities
26 Sep 2016 - 27 Sep 2016
No
AF8338
UBS AG
Type 4: advising on securities
26 Sep 2016 - 27 Sep 2016
No
AF8338
UBS AG
Type 6: advising on corporate finance
26 Sep 2016 - 27 Sep 2016
No
AF8338
UBS AG
Type 1: dealing in securities
06 Jul 2016 - 08 Jul 2016
No
AF8338
UBS AG
Type 4: advising on securities
06 Jul 2016 - 08 Jul 2016
No
AF8338
UBS AG
Type 6: advising on corporate finance
06 Jul 2016 - 08 Jul 2016
No
AF8338
UBS AG
Type 1: dealing in securities
04 Dec 2012 - 05 Jan 2014
No
AF8338
UBS AG
Type 4: advising on securities
04 Dec 2012 - 05 Jan 2014
No
AF8338
UBS AG
Type 6: advising on corporate finance
04 Dec 2012 - 05 Jan 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.