Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAM, TZE CHUM KAREN
Chinese Name of Relevant Individual
甘芷琴
HKMA Registration Number
AC0563
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 Nov 2013 - 21 Aug 2020
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 Nov 2013 - 21 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 05 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 05 Jul 2006
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
16 Mar 2004 - 07 Jul 2005
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
16 Mar 2004 - 07 Jul 2005
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
10 Sep 2003 - 04 Mar 2004
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
10 Sep 2003 - 04 Mar 2004
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
KAM, TZE CHUM KAREN
:
Chinese Name of Relevant Individual
甘芷琴
:
HKMA Registration Number
AC0563
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0563
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Nov 2013 - 21 Aug 2020
No
AC0563
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Nov 2013 - 21 Aug 2020
No
AC0563
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 05 Jul 2006
No
AC0563
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 05 Jul 2006
No
AC0563
CITIBANK, N.A.
Type 1: dealing in securities
16 Mar 2004 - 07 Jul 2005
No
AC0563
CITIBANK, N.A.
Type 4: advising on securities
16 Mar 2004 - 07 Jul 2005
No
AC0563
CITIBANK, N.A.
Type 1: dealing in securities
10 Sep 2003 - 04 Mar 2004
No
AC0563
CITIBANK, N.A.
Type 4: advising on securities
10 Sep 2003 - 04 Mar 2004
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.