Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LOK HING
Chinese Name of Relevant Individual
李樂興
HKMA Registration Number
AG1324
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
21 Jan 2022 - 25 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jan 2022 - 25 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
06 Aug 2015 - 02 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2015 - 02 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
01 May 2015 - 02 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
15 Oct 2013 - 23 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, LOK HING
:
Chinese Name of Relevant Individual
李樂興
:
HKMA Registration Number
AG1324
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1324
UBS AG
Type 1: dealing in securities
21 Jan 2022 - 25 May 2023
No
AG1324
UBS AG
Type 4: advising on securities
21 Jan 2022 - 25 May 2023
No
AG1324
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
06 Aug 2015 - 02 Dec 2016
No
AG1324
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
01 May 2015 - 02 Dec 2016
No
AG1324
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
01 May 2015 - 02 Dec 2016
No
AG1324
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
15 Oct 2013 - 23 Apr 2015
No
AG1324
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 4: advising on securities
15 Oct 2013 - 23 Apr 2015
No
AG1324
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
15 Oct 2013 - 23 Apr 2015
No
AG1324
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
15 Oct 2013 - 23 Apr 2015
No
AG1324
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 4: advising on securities
15 Oct 2013 - 23 Apr 2015
No
AG1324
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 6: advising on corporate finance
15 Oct 2013 - 23 Apr 2015
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.