Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, CHEN KWOK JOHN
Chinese Name of Relevant Individual
李鎮國
HKMA Registration Number
AH3340
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
06 Mar 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER, INVESTMENT BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Mar 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER, INVESTMENT BANKING
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
06 Mar 2017
Is an Executive Officer? (Yes / No)
Yes
Capacity
SENIOR MANAGER, INVESTMENT BANKING
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
Registered Institution
Effective Date
Description
1
Registered Institution
UBS AG
Effective Date
09 May 2018
Description
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
2
Registered Institution
UBS AG
Effective Date
09 May 2018
Description
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
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 09 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 09 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2017 - 08 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Mar 2017 - 08 May 2018
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
06 Mar 2017 - 08 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Nov 2016 - 01 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Nov 2016 - 01 Dec 2016
Is an Executive Officer? (Yes / No)
Yes
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, CHEN KWOK JOHN
:
Chinese Name of Relevant Individual
李鎮國
:
HKMA Registration Number
AH3340
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
06 Mar 2017
Yes
SENIOR MANAGER, INVESTMENT BANKING
UBS AG
Type 4: advising on securities
06 Mar 2017
Yes
SENIOR MANAGER, INVESTMENT BANKING
UBS AG
Type 6: advising on corporate finance
06 Mar 2017
Yes
SENIOR MANAGER, INVESTMENT BANKING
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
UBS AG
1
09 May 2018
For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance.
UBS AG
2
09 May 2018
For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3340
UBS AG
Type 1: dealing in securities
Since 09 May 2018
Yes
AH3340
UBS AG
Type 4: advising on securities
Since 09 May 2018
Yes
AH3340
UBS AG
Type 6: advising on corporate finance
Since 09 May 2018
Yes
AH3340
UBS AG
Type 1: dealing in securities
06 Mar 2017 - 08 May 2018
No
AH3340
UBS AG
Type 4: advising on securities
06 Mar 2017 - 08 May 2018
No
AH3340
UBS AG
Type 6: advising on corporate finance
06 Mar 2017 - 08 May 2018
No
AH3340
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 6: advising on corporate finance
29 Nov 2016 - 01 Dec 2016
Yes
AH3340
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
29 Nov 2016 - 01 Dec 2016
Yes
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.