Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, WAI SANG
Chinese Name of Relevant Individual
蘇偉生
HKMA Registration Number
AC5476
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 Sep 2014 - 28 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
26 Sep 2014 - 28 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2013 - 25 Sep 2014
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 - 25 Sep 2014
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
12 Jun 2008 - 10 Jul 2008
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
12 Jun 2008 - 10 Jul 2008
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
05 Jun 2008 - 10 Jul 2008
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
26 Apr 2005 - 10 Jul 2008
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
SO, WAI SANG
:
Chinese Name of Relevant Individual
蘇偉生
:
HKMA Registration Number
AC5476
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5476
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
26 Sep 2014 - 28 Apr 2016
Yes
AC5476
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
26 Sep 2014 - 28 Apr 2016
Yes
AC5476
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Nov 2013 - 25 Sep 2014
No
AC5476
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Nov 2013 - 25 Sep 2014
No
AC5476
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
12 Jun 2008 - 10 Jul 2008
No
AC5476
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jun 2008 - 10 Jul 2008
No
AC5476
CITIBANK, N.A.
Type 4: advising on securities
05 Jun 2008 - 10 Jul 2008
No
AC5476
CITIBANK, N.A.
Type 1: dealing in securities
26 Apr 2005 - 10 Jul 2008
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.