Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LI, MING
Chinese Name of Relevant Individual

李明
HKMA Registration Number
AH7966
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
24 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
TRADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
24 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
TRADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
First date of engagement
24 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
TRADER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LI, MING
:
Chinese Name of Relevant Individual
李明
:
HKMA Registration Number
AH7966
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
24 May 2018
No
TRADER
UBS AG
Type 4: advising on securities
24 May 2018
No
TRADER
UBS AG
Type 7: providing automated trading services
24 May 2018
No
TRADER