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LEE, CHEN KWOK JOHN

李鎮國
HKMA AH3340HKMA Relevant IndividualCurrently registeredExecutive Officer
Official HKMA record

LEE, CHEN KWOK JOHN (HKMA registration number AH3340) 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 3 authorized institutions over time.

Current Registration (3)

Registered InstitutionRegulated ActivityExec. OfficerCapacityFirst engaged
UBS AGRA 1 Type 1: dealing in securitiesYesSENIOR MANAGER, INVESTMENT BANKING2017-03-06
UBS AGRA 4 Type 4: advising on securitiesYesSENIOR MANAGER, INVESTMENT BANKING2017-03-06
UBS AGRA 6 Type 6: advising on corporate financeYesSENIOR MANAGER, INVESTMENT BANKING2017-03-06

Business Address

Registered InstitutionSFC CE No.Address
UBS AGAEP55452/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.

Conditions

Registered Institution Effective Date Description 1 Registered Institution UBS AG Effective Date 09 May 2018 --> Description --> For Type 1 regulated activity, the Executive Officer shall not engage in dealing activities other than those relating to corporate finance. 2 Registered Institution UBS AG Effective Date 09 May 2018 --> Description --> For Type 6 regulated activity, the Executive Officer must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission, act together with another adviser (to the client) not subject to a similar condition.

Registration History (4)

2018-05-09 – present Current
UBS AG Executive Officer
RA 1 RA 4 RA 6
2017-03-06 – 2018-05-08
UBS AG
RA 1 RA 4 RA 6
2016-11-29 – 2016-12-01
BANC OF AMERICA SECURITIES ASIA LIMITED Executive Officer
RA 6
2016-11-29 – 2016-12-01
BANK OF AMERICA, NATIONAL ASSOCIATION Executive Officer
RA 6

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AH3340