Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAW, ALICE
Chinese Name of Relevant Individual
羅仰慧
HKMA Registration Number
AH7301
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
17 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
CLIENT ACCOUNT MANAGER
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
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
Since 17 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2019 - 01 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
30 Aug 2019 - 01 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2018 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2018 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2018 - 31 May 2018
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
LAW, ALICE
:
Chinese Name of Relevant Individual
羅仰慧
:
HKMA Registration Number
AH7301
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
17 Apr 2021
No
CLIENT ACCOUNT MANAGER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7301
UBS AG
Type 1: dealing in securities
Since 17 Apr 2021
No
AH7301
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
30 Aug 2019 - 01 Apr 2021
No
AH7301
MORGAN STANLEY BANK ASIA LIMITED
Type 2: dealing in futures contracts
30 Aug 2019 - 01 Apr 2021
No
AH7301
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
05 Oct 2018 - 28 Feb 2019
No
AH7301
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
05 Oct 2018 - 28 Feb 2019
No
AH7301
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
07 Mar 2018 - 31 May 2018
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.