Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LI, PENG
Chinese Name of Relevant Individual

李鵬
HKMA Registration Number
AG0838
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
05 May 2016
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
05 May 2016
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
05 May 2016
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LI, PENG
:
Chinese Name of Relevant Individual
李鵬
:
HKMA Registration Number
AG0838
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
05 May 2016
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
05 May 2016
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
05 May 2016
No
INV. BANKING TEAM LEADER