Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LIU, RUI
Chinese Name of Relevant Individual
劉瑞
HKMA Registration Number
AG5299
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
15 Dec 2015 - 07 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2015 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Oct 2014 - 06 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
LIU, RUI
:
Chinese Name of Relevant Individual
劉瑞
:
HKMA Registration Number
AG5299
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5299
UBS AG
Type 1: dealing in securities
15 Dec 2015 - 07 Sep 2016
No
AG5299
CREDIT AGRICOLE (SUISSE) SA
Type 4: advising on securities
29 Aug 2015 - 06 Nov 2015
No
AG5299
CREDIT AGRICOLE (SUISSE) SA
Type 1: dealing in securities
29 Oct 2014 - 06 Nov 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.