Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHICK, DAVID C.Y.
Chinese Name of Relevant Individual
HKMA Registration Number
AC8584
Other HKMA Registration Number(s)
AE0118
Current Registration
Not Applicable
Business Address
Not Applicable
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 9: asset management
Effective Period
Since 26 May 2017
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
Since 29 Apr 2016
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 29 Apr 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Nov 2015 - 20 Jan 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Nov 2015 - 20 Jan 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2008 - 05 Nov 2015
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
09 Aug 2008 - 05 Nov 2015
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 2006 - 27 Jun 2008
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
SHICK, DAVID C.Y.
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AC8584
:
Other HKMA Registration Number(s)
AE0118
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AE0118
BANK JULIUS BAER & CO. LTD.
Type 9: asset management
Since 26 May 2017
Yes
AE0118
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 29 Apr 2016
Yes
AE0118
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 29 Apr 2016
Yes
AE0118
CREDIT SUISSE AG
Type 1: dealing in securities
06 Nov 2015 - 20 Jan 2016
Yes
AE0118
CREDIT SUISSE AG
Type 4: advising on securities
06 Nov 2015 - 20 Jan 2016
Yes
AE0118
CREDIT SUISSE AG
Type 1: dealing in securities
09 Aug 2008 - 05 Nov 2015
No
AE0118
CREDIT SUISSE AG
Type 4: advising on securities
09 Aug 2008 - 05 Nov 2015
No
AC8584
UBS AG
Type 1: dealing in securities
27 Feb 2006 - 27 Jun 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.
