Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, CHUNG YAN
Chinese Name of Relevant Individual
涂仲欣
HKMA Registration Number
AF2824
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
07 Oct 2025
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
07 Oct 2025
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 07 Oct 2025
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 07 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2016 - 16 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Sep 2012 - 31 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Sep 2012 - 31 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2012 - 14 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2011 - 14 Sep 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
07 Sep 2011 - 14 Sep 2012
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
TO, CHUNG YAN
:
Chinese Name of Relevant Individual
涂仲欣
:
HKMA Registration Number
AF2824
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
07 Oct 2025
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
07 Oct 2025
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)
AF2824
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 07 Oct 2025
No
AF2824
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 07 Oct 2025
No
AF2824
UBS AG
Type 1: dealing in securities
11 May 2016 - 16 Sep 2025
No
AF2824
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
28 Sep 2012 - 31 Mar 2016
No
AF2824
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
28 Sep 2012 - 31 Mar 2016
No
AF2824
HANG SENG BANK, LIMITED
Type 4: advising on securities
10 Jul 2012 - 14 Sep 2012
No
AF2824
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Sep 2011 - 14 Sep 2012
No
AF2824
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Sep 2011 - 14 Sep 2012
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.