Register of Securities Staff of AIs

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

卢轶
HKMA Registration Number
AJ5370
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
18 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ANALYST
Remarks
Engaged as an itinerant professional (See Note below)
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ANALYST
Remarks
Engaged as an itinerant professional (See Note below)
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
18 Sep 2024
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING ANALYST
Remarks
Engaged as an itinerant professional (See Note below)
Note

The itinerant professional:
1) shall not carry out the regulated activity(ies) in Hong Kong for more than 45 days in each calendar year; and
2) shall not provide related services to any person other than a professional investor unless the itinerant professional is accompanied at all times by a relevant individual (who is not a temporarily engaged staff or itinerant professional) in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules.

Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LU, YI
:
Chinese Name of Relevant Individual
卢轶
:
HKMA Registration Number
AJ5370
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
18 Sep 2024
No
INV. BANKING ANALYST
Engaged as an itinerant professional (See Note below)
UBS AG
Type 4: advising on securities
18 Sep 2024
No
INV. BANKING ANALYST
Engaged as an itinerant professional (See Note below)
UBS AG
Type 6: advising on corporate finance
18 Sep 2024
No
INV. BANKING ANALYST
Engaged as an itinerant professional (See Note below)
Note

The itinerant professional:
1) shall not carry out the regulated activity(ies) in Hong Kong for more than 45 days in each calendar year; and
2) shall not provide related services to any person other than a professional investor unless the itinerant professional is accompanied at all times by a relevant individual (who is not a temporarily engaged staff or itinerant professional) in performing the regulated activity(ies) in Hong Kong. The term "professional investor" is as defined in Part 1 of Schedule 1 to the Securities and Futures Ordinance but does not include any person of a class which is prescribed by the Securities and Futures (Professional Investor) Rules.