Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, XUEFENG
Chinese Name of Relevant Individual
李學鋒
HKMA Registration Number
AG4894
Other HKMA Registration Number(s)
AG6302
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
22 Nov 2017 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Nov 2017 - 13 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 12 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 12 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Apr 2015 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
02 Apr 2015 - 30 Sep 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
28 Jan 2015 - 27 Feb 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
28 Jan 2015 - 27 Feb 2015
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
25 Sep 2014 - 27 Jan 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
25 Sep 2014 - 27 Jan 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, XUEFENG
:
Chinese Name of Relevant Individual
李學鋒
:
HKMA Registration Number
AG4894
:
Other HKMA Registration Number(s)
AG6302
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6302
UBS AG
Type 1: dealing in securities
22 Nov 2017 - 13 May 2022
No
AG6302
UBS AG
Type 4: advising on securities
22 Nov 2017 - 13 May 2022
No
AG6302
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 12 Sep 2017
No
AG6302
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 12 Sep 2017
No
AG6302
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
02 Apr 2015 - 30 Sep 2016
No
AG6302
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
02 Apr 2015 - 30 Sep 2016
No
AG6302
CREDIT SUISSE AG
Type 1: dealing in securities
28 Jan 2015 - 27 Feb 2015
No
AG6302
CREDIT SUISSE AG
Type 4: advising on securities
28 Jan 2015 - 27 Feb 2015
No
AG4894
CREDIT SUISSE AG
Type 1: dealing in securities
25 Sep 2014 - 27 Jan 2015
No
AG4894
CREDIT SUISSE AG
Type 4: advising on securities
25 Sep 2014 - 27 Jan 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.