Register of Securities Staff of AIs

Last updated on 30/07/2026
< SEARCH AGAIN
Name of Relevant Individual
LEE, ANDREW CHRISTIAN TAN
Chinese Name of Relevant Individual

李炳發
HKMA Registration Number
AK0124
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
09 Jul 2026
Is an Executive Officer? (Yes / No)
No
Capacity
TRADE CAPTURE SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Jul 2026
Is an Executive Officer? (Yes / No)
No
Capacity
TRADE CAPTURE SPECIALIST
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
First date of engagement
09 Jul 2026
Is an Executive Officer? (Yes / No)
No
Capacity
TRADE CAPTURE SPECIALIST
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
LEE, ANDREW CHRISTIAN TAN
:
Chinese Name of Relevant Individual
李炳發
:
HKMA Registration Number
AK0124
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
09 Jul 2026
No
TRADE CAPTURE SPECIALIST
UBS AG
Type 4: advising on securities
09 Jul 2026
No
TRADE CAPTURE SPECIALIST
UBS AG
Type 7: providing automated trading services
09 Jul 2026
No
TRADE CAPTURE SPECIALIST