Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, MING YAN
Chinese Name of Relevant Individual
林明茵
HKMA Registration Number
AC6216
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
09 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
09 May 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE 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 09 May 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
Since 09 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Nov 2014 - 22 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Oct 2014 - 27 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2014 - 27 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Dec 2012 - 23 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Dec 2012 - 23 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2007 - 05 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2007 - 05 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
02 Nov 2007 - 05 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2005 - 26 Apr 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Jul 2005 - 26 Apr 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
LAM, MING YAN
:
Chinese Name of Relevant Individual
林明茵
:
HKMA Registration Number
AC6216
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
09 May 2024
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 May 2024
No
ASSOCIATE 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)
AC6216
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 09 May 2024
No
AC6216
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 09 May 2024
No
AC6216
UBS AG
Type 1: dealing in securities
14 Nov 2014 - 22 Sep 2023
No
AC6216
ABN AMRO BANK N.V.
Type 4: advising on securities
14 Oct 2014 - 27 Oct 2014
No
AC6216
ABN AMRO BANK N.V.
Type 1: dealing in securities
30 Apr 2014 - 27 Oct 2014
No
AC6216
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Dec 2012 - 23 Apr 2014
No
AC6216
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Dec 2012 - 23 Apr 2014
No
AC6216
HANG SENG BANK, LIMITED
Type 1: dealing in securities
02 Nov 2007 - 05 Dec 2012
No
AC6216
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Nov 2007 - 05 Dec 2012
No
AC6216
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
02 Nov 2007 - 05 Dec 2012
No
AC6216
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Jul 2005 - 26 Apr 2006
No
AC6216
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Jul 2005 - 26 Apr 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.