Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, SHUK YAN
Chinese Name of Relevant Individual
盧淑茵
HKMA Registration Number
AH0768
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 Jun 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 Jun 2022 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2019 - 27 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2019 - 27 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Oct 2018 - 02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Oct 2018 - 02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2018 - 02 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
28 Feb 2018 - 02 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Feb 2018 - 27 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Feb 2016 - 25 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Feb 2016 - 25 Sep 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
LO, SHUK YAN
:
Chinese Name of Relevant Individual
盧淑茵
:
HKMA Registration Number
AH0768
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)
AH0768
UBS AG
Type 1: dealing in securities
Since 31 May 2024
No
AH0768
UBS AG
Type 4: advising on securities
31 May 2024 - 30 Jun 2025
No
AH0768
CREDIT SUISSE AG
Type 1: dealing in securities
21 Jun 2022 - 31 May 2024
No
AH0768
CREDIT SUISSE AG
Type 4: advising on securities
21 Jun 2022 - 31 May 2024
No
AH0768
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Aug 2019 - 27 May 2022
No
AH0768
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Aug 2019 - 27 May 2022
No
AH0768
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Oct 2018 - 02 Jul 2019
No
AH0768
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Oct 2018 - 02 Jul 2019
No
AH0768
HANG SENG BANK, LIMITED
Type 1: dealing in securities
28 Feb 2018 - 02 Oct 2018
No
AH0768
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
28 Feb 2018 - 02 Oct 2018
No
AH0768
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Feb 2018 - 27 Mar 2018
No
AH0768
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Feb 2016 - 25 Sep 2017
No
AH0768
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Feb 2016 - 25 Sep 2017
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.