Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, KIN WAI
Chinese Name of Relevant Individual
蘇健偉
HKMA Registration Number
AA1445
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
11 Jan 2017 - 30 Sep 2024
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
11 Jan 2017 - 30 Sep 2024
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
06 Jun 2008 - 01 Dec 2016
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 - 01 Dec 2016
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 - 01 Dec 2016
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 - 01 Dec 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
SO, KIN WAI
:
Chinese Name of Relevant Individual
蘇健偉
:
HKMA Registration Number
AA1445
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1445
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Jan 2017 - 30 Sep 2024
No
AA1445
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Jan 2017 - 30 Sep 2024
No
AA1445
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 01 Dec 2016
No
AA1445
CITIBANK, N.A.
Type 4: advising on securities
04 Jun 2008 - 01 Dec 2016
No
AA1445
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 01 Dec 2016
No
AA1445
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 01 Dec 2016
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.