Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, MICHELLS HOI MAN
Chinese Name of Relevant Individual
李凱敏
HKMA Registration Number
AG5404
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
31 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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 31 May 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
31 May 2024 - 30 Jun 2025
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
21 Sep 2022 - 31 May 2024
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
21 Sep 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2021 - 04 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2015 - 04 Aug 2022
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 - 17 Sep 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
05 Nov 2014 - 17 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
LEE, MICHELLS HOI MAN
:
Chinese Name of Relevant Individual
李凱敏
:
HKMA Registration Number
AG5404
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
31 May 2024
No
CLIENT ACCOUNT MANAGER
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)
AG5404
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AG5404
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AG5404
CREDIT SUISSE AG
Type 1: dealing in securities
21 Sep 2022 - 31 May 2024
No
AG5404
CREDIT SUISSE AG
Type 4: advising on securities
21 Sep 2022 - 31 May 2024
No
AG5404
BANK OF SINGAPORE LIMITED
Type 4: advising on securities
01 Apr 2021 - 04 Aug 2022
No
AG5404
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
03 Oct 2015 - 04 Aug 2022
No
AG5404
CREDIT AGRICOLE (SUISSE) SA
Type 4: advising on securities
29 Aug 2015 - 17 Sep 2015
No
AG5404
CREDIT AGRICOLE (SUISSE) SA
Type 1: dealing in securities
05 Nov 2014 - 17 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.