Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, TINNER
Chinese Name of Relevant Individual
郭天娜
HKMA Registration Number
AC7735
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
02 Aug 2025
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
02 Aug 2025
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 02 Aug 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
Since 02 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2022 - 15 Jul 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
26 Jul 2022 - 15 Jul 2025
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
26 Jul 2013 - 03 Jul 2022
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
26 Jul 2013 - 03 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2013 - 08 Jul 2013
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
21 Feb 2008 - 12 Feb 2013
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
21 Feb 2008 - 12 Feb 2013
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
21 Feb 2008 - 12 Feb 2013
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
01 Sep 2007 - 30 Jan 2008
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
30 Nov 2005 - 12 Aug 2007
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
30 Nov 2005 - 12 Aug 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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
KWOK, TINNER
:
Chinese Name of Relevant Individual
郭天娜
:
HKMA Registration Number
AC7735
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
02 Aug 2025
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
02 Aug 2025
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)
AC7735
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 02 Aug 2025
No
AC7735
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 02 Aug 2025
No
AC7735
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Jul 2022 - 15 Jul 2025
No
AC7735
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Jul 2022 - 15 Jul 2025
No
AC7735
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jul 2013 - 03 Jul 2022
No
AC7735
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jul 2013 - 03 Jul 2022
No
AC7735
UBS AG
Type 1: dealing in securities
27 Feb 2013 - 08 Jul 2013
No
AC7735
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Feb 2008 - 12 Feb 2013
No
AC7735
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Feb 2008 - 12 Feb 2013
No
AC7735
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Feb 2008 - 12 Feb 2013
No
AC7735
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Sep 2007 - 30 Jan 2008
No
AC7735
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Nov 2005 - 12 Aug 2007
No
AC7735
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Nov 2005 - 12 Aug 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.