Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEN, LEE MING BARRY
Chinese Name of Relevant Individual
陳理鳴
HKMA Registration Number
AC5555
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
29 May 2015
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
29 May 2015
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK JULIUS BAER & CO. LTD.
SFC CE number
AUR302
Business Address
39/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
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
Since 29 May 2015
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
Since 29 May 2015
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
06 Sep 2011 - 21 Jan 2015
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
06 Sep 2011 - 21 Jan 2015
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
06 Sep 2011 - 21 Jan 2015
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 Sep 2011 - 21 Jan 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2008 - 13 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2007 - 13 Jun 2011
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 - 19 Oct 2006
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
01 Oct 2005 - 19 Oct 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
04 May 2005 - 19 Oct 2006
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 May 2005 - 19 Oct 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
CHEN, LEE MING BARRY
:
Chinese Name of Relevant Individual
陳理鳴
:
HKMA Registration Number
AC5555
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
29 May 2015
No
EXECUTIVE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
29 May 2015
No
EXECUTIVE DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
BANK JULIUS BAER & CO. LTD.
AUR302
39/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5555
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 29 May 2015
No
AC5555
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 29 May 2015
No
AC5555
CITIBANK, N.A.
Type 1: dealing in securities
06 Sep 2011 - 21 Jan 2015
No
AC5555
CITIBANK, N.A.
Type 4: advising on securities
06 Sep 2011 - 21 Jan 2015
No
AC5555
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Sep 2011 - 21 Jan 2015
No
AC5555
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Sep 2011 - 21 Jan 2015
No
AC5555
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
05 Jul 2008 - 13 Jun 2011
No
AC5555
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
03 Apr 2007 - 13 Jun 2011
No
AC5555
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
01 Oct 2005 - 19 Oct 2006
No
AC5555
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
01 Oct 2005 - 19 Oct 2006
No
AC5555
CITIBANK, N.A.
Type 1: dealing in securities
04 May 2005 - 19 Oct 2006
No
AC5555
CITIBANK, N.A.
Type 4: advising on securities
04 May 2005 - 19 Oct 2006
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.