Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LECHER, STEFAN ALEXANDER
Chinese Name of Relevant Individual
HKMA Registration Number
AH2359
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
First date of engagement
14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Effective Date
14 Dec 2021
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
Since 14 Dec 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Dec 2016 - 16 Aug 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
30 Dec 2016 - 16 Aug 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
30 Dec 2016 - 16 Aug 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2016 - 29 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Aug 2016 - 29 Dec 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
16 Aug 2016 - 29 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
LECHER, STEFAN ALEXANDER
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH2359
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Dec 2021
Yes
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Dec 2021
Yes
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
14 Dec 2021
Yes
HEAD OF WEALTH AND PREMIER SOLUTIONS, ASIA
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
1
14 Dec 2021
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2359
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 14 Dec 2021
Yes
AH2359
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 14 Dec 2021
Yes
AH2359
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
Since 14 Dec 2021
Yes
AH2359
UBS AG
Type 1: dealing in securities
30 Dec 2016 - 16 Aug 2021
Yes
AH2359
UBS AG
Type 4: advising on securities
30 Dec 2016 - 16 Aug 2021
Yes
AH2359
UBS AG
Type 9: asset management
30 Dec 2016 - 16 Aug 2021
Yes
AH2359
UBS AG
Type 1: dealing in securities
16 Aug 2016 - 29 Dec 2016
No
AH2359
UBS AG
Type 4: advising on securities
16 Aug 2016 - 29 Dec 2016
No
AH2359
UBS AG
Type 9: asset management
16 Aug 2016 - 29 Dec 2016
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.