Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LUO, JUN
Chinese Name of Relevant Individual

羅駿
HKMA Registration Number
AG3380
Other HKMA Registration Number(s)
AE1005
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
14 May 2014
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
14 May 2014
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
14 May 2014
Is an Executive Officer? (Yes / No)
Yes
Capacity
INVESTMENT BANKING TEAM LEADER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LUO, JUN
:
Chinese Name of Relevant Individual
羅駿
:
HKMA Registration Number
AG3380
:
Other HKMA Registration Number(s)
AE1005
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
14 May 2014
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
14 May 2014
Yes
INVESTMENT BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
14 May 2014
Yes
INVESTMENT BANKING TEAM LEADER