Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, SHIU WO VICTOR
Chinese Name of Relevant Individual
利兆和
HKMA Registration Number
AH5055
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
24 Jun 2024 - 18 Mar 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
24 Jun 2024 - 18 Mar 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
30 Jun 2017 - 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
30 Jun 2017 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, SHIU WO VICTOR
:
Chinese Name of Relevant Individual
利兆和
:
HKMA Registration Number
AH5055
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5055
UBS AG
Type 1: dealing in securities
24 Jun 2024 - 18 Mar 2025
No
AH5055
UBS AG
Type 4: advising on securities
24 Jun 2024 - 18 Mar 2025
No
AH5055
CREDIT SUISSE AG
Type 1: dealing in securities
30 Jun 2017 - 31 May 2024
No
AH5055
CREDIT SUISSE AG
Type 4: advising on securities
30 Jun 2017 - 31 May 2024
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.