Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, HONGCHAO
Chinese Name of Relevant Individual
李洪超
HKMA Registration Number
AI0300
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
13 Oct 2020 - 25 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Oct 2020 - 25 Apr 2021
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
13 Oct 2020 - 25 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2020 - 08 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2020 - 08 Oct 2020
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
12 Aug 2020 - 08 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Apr 2019 - 06 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Apr 2019 - 06 May 2019
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
25 Apr 2019 - 06 May 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Dec 2018 - 20 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
14 Dec 2018 - 20 Jan 2019
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
14 Dec 2018 - 20 Jan 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
LI, HONGCHAO
:
Chinese Name of Relevant Individual
李洪超
:
HKMA Registration Number
AI0300
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0300
UBS AG
Type 1: dealing in securities
13 Oct 2020 - 25 Apr 2021
No
AI0300
UBS AG
Type 4: advising on securities
13 Oct 2020 - 25 Apr 2021
No
AI0300
UBS AG
Type 6: advising on corporate finance
13 Oct 2020 - 25 Apr 2021
No
AI0300
UBS AG
Type 1: dealing in securities
12 Aug 2020 - 08 Oct 2020
No
AI0300
UBS AG
Type 4: advising on securities
12 Aug 2020 - 08 Oct 2020
No
AI0300
UBS AG
Type 6: advising on corporate finance
12 Aug 2020 - 08 Oct 2020
No
AI0300
UBS AG
Type 1: dealing in securities
25 Apr 2019 - 06 May 2019
No
AI0300
UBS AG
Type 4: advising on securities
25 Apr 2019 - 06 May 2019
No
AI0300
UBS AG
Type 6: advising on corporate finance
25 Apr 2019 - 06 May 2019
No
AI0300
UBS AG
Type 1: dealing in securities
14 Dec 2018 - 20 Jan 2019
No
AI0300
UBS AG
Type 4: advising on securities
14 Dec 2018 - 20 Jan 2019
No
AI0300
UBS AG
Type 6: advising on corporate finance
14 Dec 2018 - 20 Jan 2019
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.