Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WU, HUI-YI
Chinese Name of Relevant Individual
吳惠義
HKMA Registration Number
AC6798
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
27 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING 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 15 Dec 2023
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
Since 15 Dec 2023
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
27 Sep 2023 - 14 Dec 2023
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
27 Sep 2023 - 14 Dec 2023
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
29 Apr 2021 - 23 Jun 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Apr 2021 - 23 Jun 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Sep 2017 - 28 Apr 2021
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
12 Sep 2017 - 28 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 07 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Aug 2010 - 27 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
16 Aug 2010 - 27 Apr 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Apr 2008 - 28 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Apr 2008 - 28 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2005 - 19 Mar 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
WU, HUI-YI
:
Chinese Name of Relevant Individual
吳惠義
:
HKMA Registration Number
AC6798
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
27 Sep 2023
Yes
MANAGING DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
27 Sep 2023
Yes
MANAGING 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)
AC6798
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 15 Dec 2023
Yes
AC6798
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 15 Dec 2023
Yes
AC6798
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
27 Sep 2023 - 14 Dec 2023
No
AC6798
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
27 Sep 2023 - 14 Dec 2023
No
AC6798
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Apr 2021 - 23 Jun 2023
Yes
AC6798
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Apr 2021 - 23 Jun 2023
Yes
AC6798
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
12 Sep 2017 - 28 Apr 2021
No
AC6798
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
12 Sep 2017 - 28 Apr 2021
No
AC6798
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 07 Jul 2017
No
AC6798
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 07 Jul 2017
No
AC6798
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
16 Aug 2010 - 27 Apr 2014
No
AC6798
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
16 Aug 2010 - 27 Apr 2014
No
AC6798
CREDIT SUISSE AG
Type 1: dealing in securities
23 Apr 2008 - 28 Jul 2010
No
AC6798
CREDIT SUISSE AG
Type 4: advising on securities
23 Apr 2008 - 28 Jul 2010
No
AC6798
UBS AG
Type 1: dealing in securities
02 Sep 2005 - 19 Mar 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.