Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, YOK BING WENDY
Chinese Name of Relevant Individual
關玉冰
HKMA Registration Number
AD0079
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
01 Nov 2018 - 22 Nov 2021
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
01 Nov 2018 - 22 Nov 2021
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
05 Jun 2013 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 9: asset management
Effective Period
05 Jun 2013 - 30 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jul 2006 - 25 May 2010
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
KWAN, YOK BING WENDY
:
Chinese Name of Relevant Individual
關玉冰
:
HKMA Registration Number
AD0079
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0079
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
01 Nov 2018 - 22 Nov 2021
No
AD0079
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
01 Nov 2018 - 22 Nov 2021
No
AD0079
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
05 Jun 2013 - 30 Apr 2015
No
AD0079
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 9: asset management
05 Jun 2013 - 30 Apr 2015
No
AD0079
BARCLAYS BANK PLC
Type 1: dealing in securities
11 Jul 2006 - 25 May 2010
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.