Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHU, YUEN KWAN
Chinese Name of Relevant Individual
朱婉筠
HKMA Registration Number
AC9885
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 1: dealing in securities
Effective Period
31 Oct 2023 - 29 Feb 2024
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
31 Oct 2023 - 29 Feb 2024
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
16 Jul 2022 - 04 Oct 2023
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
16 Jul 2022 - 04 Oct 2023
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
16 Jul 2022 - 04 Oct 2023
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
16 Jul 2022 - 04 Oct 2023
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
23 May 2016 - 08 Jul 2022
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
23 May 2016 - 08 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2015 - 04 Sep 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
25 Jul 2015 - 04 Sep 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
07 Jan 2012 - 19 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jun 2006 - 12 Dec 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
28 Jun 2006 - 12 Dec 2011
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
CHU, YUEN KWAN
:
Chinese Name of Relevant Individual
朱婉筠
:
HKMA Registration Number
AC9885
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9885
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
31 Oct 2023 - 29 Feb 2024
No
AC9885
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
31 Oct 2023 - 29 Feb 2024
No
AC9885
CITIBANK, N.A.
Type 1: dealing in securities
16 Jul 2022 - 04 Oct 2023
No
AC9885
CITIBANK, N.A.
Type 4: advising on securities
16 Jul 2022 - 04 Oct 2023
No
AC9885
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
16 Jul 2022 - 04 Oct 2023
No
AC9885
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
16 Jul 2022 - 04 Oct 2023
No
AC9885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 May 2016 - 08 Jul 2022
No
AC9885
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 May 2016 - 08 Jul 2022
No
AC9885
CREDIT SUISSE AG
Type 1: dealing in securities
25 Jul 2015 - 04 Sep 2015
No
AC9885
CREDIT SUISSE AG
Type 4: advising on securities
25 Jul 2015 - 04 Sep 2015
No
AC9885
UBS AG
Type 1: dealing in securities
07 Jan 2012 - 19 Jun 2015
No
AC9885
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Jun 2006 - 12 Dec 2011
No
AC9885
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Jun 2006 - 12 Dec 2011
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.