LEE, CHEN KWOK JOHN

李鎮國

HKMA AH3340HKMA 有關人士現時已註冊主管人員 (EO)

LEE, CHEN KWOK JOHN（HKMA 註冊編號 AH3340）為香港金融管理局「認可機構證券業務員工註冊紀錄冊」內的有關人士。現時於 UBS AG 註冊進行受規管活動。歷年曾於 3 間認可機構任職。

現時註冊 Current Registration (3)

註冊機構	受規管活動	主管人員	職位 Capacity	首次受聘日期
UBS AG	RA 1 Type 1: dealing in securities	是	SENIOR MANAGER, INVESTMENT BANKING	2017-03-06
UBS AG	RA 4 Type 4: advising on securities	是	SENIOR MANAGER, INVESTMENT BANKING	2017-03-06
UBS AG	RA 6 Type 6: advising on corporate finance	是	SENIOR MANAGER, INVESTMENT BANKING	2017-03-06

業務地址 Business Address

註冊機構	SFC CE 編號	地址
UBS AG	AEP554	52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.

註冊條件 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.

註冊紀錄 Registration History (4)

2018-05-09 – 現時現職

UBS AG 主管人員 (EO)

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 主管人員 (EO)

RA 6

2016-11-29 – 2016-12-01

BANK OF AMERICA, NATIONAL ASSOCIATION 主管人員 (EO)

RA 6

資料引用自香港金融管理局（HKMA）「認可機構證券業務員工註冊紀錄冊」公開紀錄，僅供參考。
官方紀錄：apps.hkma.gov.hk · JSON API：/api/hkma/AH3340