Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHU, HAN YEE
Chinese Name of Relevant Individual
朱杏怡
HKMA Registration Number
AF3670
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
21 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
21 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT ADVISOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 21 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 21 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 Oct 2022
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
05 Aug 2016 - 27 Jun 2022
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
05 Aug 2016 - 27 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
27 Feb 2014 - 20 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Nov 2011 - 20 May 2016
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
CHU, HAN YEE
:
Chinese Name of Relevant Individual
朱杏怡
:
HKMA Registration Number
AF3670
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
01 Oct 2022
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 2: dealing in futures contracts
21 Feb 2023
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 4: advising on securities
01 Oct 2022
No
STAFF OF CLIENT ADVISOR
LGT BANK AG
Type 5: advising on futures contracts
21 Feb 2023
No
STAFF OF CLIENT ADVISOR
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3670
LGT BANK AG
Type 2: dealing in futures contracts
Since 21 Feb 2023
No
AF3670
LGT BANK AG
Type 5: advising on futures contracts
Since 21 Feb 2023
No
AF3670
LGT BANK AG
Type 1: dealing in securities
Since 01 Oct 2022
No
AF3670
LGT BANK AG
Type 4: advising on securities
Since 01 Oct 2022
No
AF3670
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
05 Aug 2016 - 27 Jun 2022
No
AF3670
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
05 Aug 2016 - 27 Jun 2022
No
AF3670
UBS AG
Type 4: advising on securities
27 Feb 2014 - 20 May 2016
No
AF3670
UBS AG
Type 1: dealing in securities
05 Nov 2011 - 20 May 2016
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.