LU, YAO (HKMA registration number AG3311) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at UBS AG. Has been engaged at 1 authorized institution over time.
| Registered Institution | Regulated Activity | Exec. Officer | Capacity | First engaged |
|---|---|---|---|---|
| UBS AG | RA 1 Type 1: dealing in securities | No | INVESTMENT BANKER | 2014-05-06 |
| UBS AG | RA 4 Type 4: advising on securities | No | INVESTMENT BANKER | 2014-05-06 |
| UBS AG | RA 6 Type 6: advising on corporate finance | No | INVESTMENT BANKER | 2014-05-06 |
| Registered Institution | SFC CE No. | Address |
|---|---|---|
| UBS AG | AEP554 | 52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG. |