Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, LU
Chinese Name of Relevant Individual
李潞
HKMA Registration Number
AH2198
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
01 Oct 2024 - 26 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2024 - 26 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Oct 2024 - 26 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Aug 2016 - 12 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Aug 2016 - 12 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
02 Aug 2016 - 12 Dec 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, LU
:
Chinese Name of Relevant Individual
李潞
:
HKMA Registration Number
AH2198
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2198
UBS AG
Type 1: dealing in securities
01 Oct 2024 - 26 May 2025
No
AH2198
UBS AG
Type 4: advising on securities
01 Oct 2024 - 26 May 2025
No
AH2198
UBS AG
Type 6: advising on corporate finance
01 Oct 2024 - 26 May 2025
No
AH2198
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 Aug 2016 - 12 Dec 2017
No
AH2198
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 Aug 2016 - 12 Dec 2017
No
AH2198
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
02 Aug 2016 - 12 Dec 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.