Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, VICKI WAI KI
Chinese Name of Relevant Individual
劉慧琪
HKMA Registration Number
AC8942
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
25 Jan 2019
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
25 Jan 2019
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 25 Jan 2019
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 25 Jan 2019
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
13 Sep 2017 - 21 Dec 2018
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
13 Sep 2017 - 21 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2017 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Oct 2016 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Dec 2014 - 30 Sep 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
20 Dec 2014 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2014 - 09 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2006 - 30 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2006 - 30 Jul 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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
LAU, VICKI WAI KI
:
Chinese Name of Relevant Individual
劉慧琪
:
HKMA Registration Number
AC8942
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
25 Jan 2019
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
25 Jan 2019
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)
AC8942
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 25 Jan 2019
No
AC8942
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 25 Jan 2019
No
AC8942
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Sep 2017 - 21 Dec 2018
No
AC8942
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Sep 2017 - 21 Dec 2018
No
AC8942
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
14 Jun 2017 - 18 Aug 2017
No
AC8942
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
03 Oct 2016 - 18 Aug 2017
No
AC8942
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
20 Dec 2014 - 30 Sep 2016
No
AC8942
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
20 Dec 2014 - 30 Sep 2016
No
AC8942
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
09 Aug 2014 - 09 Dec 2014
No
AC8942
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2006 - 30 Jul 2014
No
AC8942
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2006 - 30 Jul 2014
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.