Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XIAOPENG
Chinese Name of Relevant Individual
李小朋
HKMA Registration Number
AG0095
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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2016 - 30 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
19 Jun 2013 - 04 Nov 2014
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 Jun 2013 - 04 Nov 2014
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, XIAOPENG
:
Chinese Name of Relevant Individual
李小朋
:
HKMA Registration Number
AG0095
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0095
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Aug 2016 - 30 Apr 2021
No
AG0095
UBS AG
Type 1: dealing in securities
19 Jun 2013 - 04 Nov 2014
No
AG0095
UBS AG
Type 7: providing automated trading services
19 Jun 2013 - 04 Nov 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.