Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, PUI YEE CARRIE
Chinese Name of Relevant Individual
陳佩兒
HKMA Registration Number
AC9110
Other HKMA Registration Number(s)
AC9569
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
22 Dec 2017
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
22 Dec 2017
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 22 Dec 2017
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 22 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2010 - 31 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jan 2010 - 31 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2006 - 23 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jun 2006 - 23 Feb 2009
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
19 Apr 2006 - 31 May 2006
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
19 Apr 2006 - 31 May 2006
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
CHAN, PUI YEE CARRIE
:
Chinese Name of Relevant Individual
陳佩兒
:
HKMA Registration Number
AC9110
:
Other HKMA Registration Number(s)
AC9569
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
22 Dec 2017
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
22 Dec 2017
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)
AC9110
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 22 Dec 2017
No
AC9110
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 22 Dec 2017
No
AC9110
COUTTS & CO AG
Type 1: dealing in securities
08 Jan 2010 - 31 Jul 2017
No
AC9110
COUTTS & CO AG
Type 4: advising on securities
08 Jan 2010 - 31 Jul 2017
No
AC9569
CREDIT SUISSE
Type 1: dealing in securities
03 Jun 2006 - 23 Feb 2009
No
AC9569
CREDIT SUISSE
Type 4: advising on securities
03 Jun 2006 - 23 Feb 2009
No
AC9110
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Apr 2006 - 31 May 2006
No
AC9110
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Apr 2006 - 31 May 2006
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.