Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

TAN, KERWIN LIM

Chinese Name of Relevant Individual

楊培豐

HKMA Registration Number

AC7118

Other HKMA Registration Number(s)

AC1807, AC2243

Current Registration

Not Applicable

Business Address

Conditions

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

03 Apr 2014 - 15 Oct 2025

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

03 Apr 2014 - 15 Oct 2025

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BNP PARIBAS WEALTH MANAGEMENT

Regulated Activity

Type 4: advising on securities

Effective Period

31 Jul 2006 - 13 Aug 2013

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BNP PARIBAS WEALTH MANAGEMENT

Regulated Activity

Type 1: dealing in securities

Effective Period

31 Jul 2006 - 02 Aug 2013

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

22 Nov 2005 - 27 Jul 2006

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

04 Oct 2005 - 27 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

11 Jul 2004 - 19 Nov 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

07 Jun 2004 - 11 Jun 2004

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 2004 - 30 Apr 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

26 Apr 2004 - 30 Apr 2004

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

TAN, KERWIN LIM

:

Chinese Name of Relevant Individual

楊培豐

:

HKMA Registration Number

AC7118

:

Other HKMA Registration Number(s)

AC1807, AC2243

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AC7118

BANK JULIUS BAER & CO. LTD.

Type 1: dealing in securities

03 Apr 2014 - 15 Oct 2025

No

AC7118

BANK JULIUS BAER & CO. LTD.

Type 4: advising on securities

03 Apr 2014 - 15 Oct 2025

No

AC7118

BNP PARIBAS WEALTH MANAGEMENT

Type 4: advising on securities

31 Jul 2006 - 13 Aug 2013

No

AC7118

BNP PARIBAS WEALTH MANAGEMENT

Type 1: dealing in securities

31 Jul 2006 - 02 Aug 2013

No

AC7118

CITIBANK, N.A.

Type 1: dealing in securities

22 Nov 2005 - 27 Jul 2006

No

AC7118

CITICORP INTERNATIONAL LIMITED

Type 1: dealing in securities

04 Oct 2005 - 27 Jul 2006

No

AC2243

CITIBANK, N.A.

Type 1: dealing in securities

11 Jul 2004 - 19 Nov 2005

No

AC2243

CITIBANK, N.A.

Type 4: advising on securities

07 Jun 2004 - 11 Jun 2004

No

AC1807

CITIBANK, N.A.

Type 1: dealing in securities

26 Apr 2004 - 30 Apr 2004

No

AC1807

CITIBANK, N.A.

Type 4: advising on securities

26 Apr 2004 - 30 Apr 2004

No