Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TUNG, SIU MAN
Chinese Name of Relevant Individual
董紹文
HKMA Registration Number
AA1394
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
26 May 2012 - 26 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
26 May 2012 - 26 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2010 - 27 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2010 - 27 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2008 - 27 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jun 2008 - 27 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2005 - 27 Jun 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 27 Jun 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
TUNG, SIU MAN
:
Chinese Name of Relevant Individual
董紹文
:
HKMA Registration Number
AA1394
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1394
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
26 May 2012 - 26 Mar 2025
No
AA1394
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
26 May 2012 - 26 Mar 2025
No
AA1394
CREDIT SUISSE AG
Type 1: dealing in securities
24 Jul 2010 - 27 Feb 2012
No
AA1394
CREDIT SUISSE AG
Type 4: advising on securities
24 Jul 2010 - 27 Feb 2012
No
AA1394
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
05 Jun 2008 - 27 Jun 2010
No
AA1394
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 27 Jun 2010
No
AA1394
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 27 Jun 2010
No
AA1394
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 27 Jun 2010
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.