Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, MENGZE
Chinese Name of Relevant Individual
李梦澤
HKMA Registration Number
AG4424
Current Registration
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 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
WM CA DESK HEAD
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
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
Since 06 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2016 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2016 - 22 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
14 Jun 2016 - 30 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2015 - 13 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2015 - 13 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2015 - 13 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2015 - 13 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2014 - 18 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2014 - 18 Sep 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
12 Aug 2014 - 18 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, MENGZE
:
Chinese Name of Relevant Individual
李梦澤
:
HKMA Registration Number
AG4424
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Aug 2024
No
WM CA DESK HEAD
UBS AG
Type 4: advising on securities
06 Aug 2024
No
WM CA DESK HEAD
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4424
UBS AG
Type 1: dealing in securities
Since 06 Aug 2024
No
AG4424
UBS AG
Type 4: advising on securities
Since 06 Aug 2024
No
AG4424
CREDIT SUISSE AG
Type 1: dealing in securities
14 Jun 2016 - 22 Nov 2017
No
AG4424
CREDIT SUISSE AG
Type 4: advising on securities
14 Jun 2016 - 22 Nov 2017
No
AG4424
CREDIT SUISSE AG
Type 6: advising on corporate finance
14 Jun 2016 - 30 Aug 2016
No
AG4424
CITIBANK, N.A.
Type 1: dealing in securities
23 Oct 2015 - 13 May 2016
No
AG4424
CITIBANK, N.A.
Type 4: advising on securities
23 Oct 2015 - 13 May 2016
No
AG4424
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
23 Oct 2015 - 13 May 2016
No
AG4424
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
23 Oct 2015 - 13 May 2016
No
AG4424
CREDIT SUISSE AG
Type 1: dealing in securities
12 Aug 2014 - 18 Sep 2015
No
AG4424
CREDIT SUISSE AG
Type 4: advising on securities
12 Aug 2014 - 18 Sep 2015
No
AG4424
CREDIT SUISSE AG
Type 6: advising on corporate finance
12 Aug 2014 - 18 Sep 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.