Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LU, YAO
Chinese Name of Relevant Individual

路堯
HKMA Registration Number
AG3311
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
06 May 2014
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 May 2014
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
06 May 2014
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LU, YAO
:
Chinese Name of Relevant Individual
路堯
:
HKMA Registration Number
AG3311
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 May 2014
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
06 May 2014
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
06 May 2014
No
INVESTMENT BANKER