Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAI, SIU WA
Chinese Name of Relevant Individual
黎少華
HKMA Registration Number
AI3366
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
20 Nov 2019 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Nov 2019 - 31 May 2022
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
20 Nov 2019 - 31 May 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
LAI, SIU WA
:
Chinese Name of Relevant Individual
黎少華
:
HKMA Registration Number
AI3366
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3366
UBS AG
Type 1: dealing in securities
20 Nov 2019 - 31 May 2022
No
AI3366
UBS AG
Type 4: advising on securities
20 Nov 2019 - 31 May 2022
No
AI3366
UBS AG
Type 6: advising on corporate finance
20 Nov 2019 - 31 May 2022
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.