Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, YEE KIM
Chinese Name of Relevant Individual
陳怡今
HKMA Registration Number
AF5245
Other HKMA Registration Number(s)
AE3173
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
01 Jul 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Jul 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING 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 01 Jan 2023
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 01 Jan 2023
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
04 Nov 2016 - 31 Dec 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Nov 2016 - 31 Dec 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2016 - 03 Nov 2016
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 Jul 2016 - 03 Nov 2016
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
09 Mar 2012 - 04 Mar 2016
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
09 Mar 2012 - 04 Mar 2016
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
28 May 2009 - 12 Mar 2012
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
28 May 2009 - 12 Mar 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
TAN, YEE KIM
:
Chinese Name of Relevant Individual
陳怡今
:
HKMA Registration Number
AF5245
:
Other HKMA Registration Number(s)
AE3173
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
01 Jul 2016
No
MANAGING DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
01 Jul 2016
No
MANAGING 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)
AF5245
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 01 Jan 2023
No
AF5245
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 01 Jan 2023
No
AF5245
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
04 Nov 2016 - 31 Dec 2022
Yes
AF5245
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
04 Nov 2016 - 31 Dec 2022
Yes
AF5245
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
01 Jul 2016 - 03 Nov 2016
No
AF5245
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
01 Jul 2016 - 03 Nov 2016
No
AF5245
CREDIT SUISSE AG
Type 1: dealing in securities
09 Mar 2012 - 04 Mar 2016
No
AF5245
CREDIT SUISSE AG
Type 4: advising on securities
09 Mar 2012 - 04 Mar 2016
No
AE3173
CREDIT SUISSE AG
Type 1: dealing in securities
28 May 2009 - 12 Mar 2012
No
AE3173
CREDIT SUISSE AG
Type 4: advising on securities
28 May 2009 - 12 Mar 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.