Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, ZHAOJUN
Chinese Name of Relevant Individual
李兆俊
HKMA Registration Number
AI4728
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
23 Jul 2020 - 25 Jun 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
23 Jul 2020 - 25 Jun 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
23 Jul 2020 - 25 Jun 2021
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
LI, ZHAOJUN
:
Chinese Name of Relevant Individual
李兆俊
:
HKMA Registration Number
AI4728
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4728
UBS AG
Type 1: dealing in securities
23 Jul 2020 - 25 Jun 2021
No
AI4728
UBS AG
Type 4: advising on securities
23 Jul 2020 - 25 Jun 2021
No
AI4728
UBS AG
Type 6: advising on corporate finance
23 Jul 2020 - 25 Jun 2021
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.