Register of Securities Staff of AIs

Last updated on 18/06/2026
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Name of Relevant Individual
LOCK, HON CHOONG JOEL
Chinese Name of Relevant Individual

HKMA Registration Number
AJ4197
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
12 Mar 2024
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
12 Mar 2024
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
12 Mar 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT BANKER
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LOCK, HON CHOONG JOEL
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AJ4197
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
12 Mar 2024
No
INVESTMENT BANKER
UBS AG
Type 4: advising on securities
12 Mar 2024
No
INVESTMENT BANKER
UBS AG
Type 6: advising on corporate finance
12 Mar 2024
No
INVESTMENT BANKER