Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LO, CHEUK KEE
Chinese Name of Relevant Individual
盧卓祺
HKMA Registration Number
AH7062
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
22 Dec 2021 - 02 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Dec 2021 - 02 Jan 2026
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
22 Dec 2021 - 02 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Feb 2018 - 30 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 6: advising on corporate finance
Effective Period
07 Feb 2018 - 30 Nov 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, CHEUK KEE
:
Chinese Name of Relevant Individual
盧卓祺
:
HKMA Registration Number
AH7062
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7062
UBS AG
Type 1: dealing in securities
22 Dec 2021 - 02 Jan 2026
No
AH7062
UBS AG
Type 4: advising on securities
22 Dec 2021 - 02 Jan 2026
No
AH7062
UBS AG
Type 6: advising on corporate finance
22 Dec 2021 - 02 Jan 2026
No
AH7062
BNP PARIBAS
Type 1: dealing in securities
07 Feb 2018 - 30 Nov 2021
No
AH7062
BNP PARIBAS
Type 6: advising on corporate finance
07 Feb 2018 - 30 Nov 2021
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.