Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, YEE PING DAVID
Chinese Name of Relevant Individual
陳貽平
HKMA Registration Number
AC7136
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
24 Aug 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR SENIOR ADVISOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Aug 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR SENIOR ADVISOR
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 24 Aug 2016
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 24 Aug 2016
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
23 May 2007 - 15 Jul 2016
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
23 May 2007 - 15 Jul 2016
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
23 May 2007 - 15 Jul 2016
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
23 May 2007 - 15 Jul 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2005 - 16 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2005 - 16 May 2007
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
TAN, YEE PING DAVID
:
Chinese Name of Relevant Individual
陳貽平
:
HKMA Registration Number
AC7136
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
24 Aug 2016
No
MANAGING DIRECTOR SENIOR ADVISOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
24 Aug 2016
No
MANAGING DIRECTOR SENIOR ADVISOR
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)
AC7136
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 24 Aug 2016
No
AC7136
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 24 Aug 2016
No
AC7136
CITIBANK, N.A.
Type 1: dealing in securities
23 May 2007 - 15 Jul 2016
No
AC7136
CITIBANK, N.A.
Type 4: advising on securities
23 May 2007 - 15 Jul 2016
No
AC7136
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
23 May 2007 - 15 Jul 2016
No
AC7136
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
23 May 2007 - 15 Jul 2016
No
AC7136
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2005 - 16 May 2007
No
AC7136
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
04 Oct 2005 - 16 May 2007
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.