Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
LIU, DALU
Chinese Name of Relevant Individual

刘大路
HKMA Registration Number
AI0657
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
15 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
15 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LIU, DALU
:
Chinese Name of Relevant Individual
刘大路
:
HKMA Registration Number
AI0657
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
15 Jul 2020
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
15 Jul 2020
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
15 Jul 2020
No
INVESTMENT BANKER