Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KAM, YICK MAN CARMEN
Chinese Name of Relevant Individual
甘譯文
HKMA Registration Number
AF5305
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
09 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Aug 2025
Is an Executive Officer? (Yes / No)
No
Capacity
EXECUTIVE 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 09 Aug 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 09 Aug 2025
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
19 Sep 2022 - 23 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2022 - 23 Jun 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
23 Dec 2015 - 20 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
23 Dec 2015 - 20 Jun 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
14 Mar 2012 - 16 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
14 Mar 2012 - 16 Sep 2015
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
KAM, YICK MAN CARMEN
:
Chinese Name of Relevant Individual
甘譯文
:
HKMA Registration Number
AF5305
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
09 Aug 2025
No
EXECUTIVE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Aug 2025
No
EXECUTIVE 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)
AF5305
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 09 Aug 2025
No
AF5305
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 09 Aug 2025
No
AF5305
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
19 Sep 2022 - 23 Jun 2025
No
AF5305
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
19 Sep 2022 - 23 Jun 2025
No
AF5305
UBS AG
Type 1: dealing in securities
23 Dec 2015 - 20 Jun 2022
No
AF5305
UBS AG
Type 4: advising on securities
23 Dec 2015 - 20 Jun 2022
No
AF5305
CREDIT SUISSE AG
Type 1: dealing in securities
14 Mar 2012 - 16 Sep 2015
No
AF5305
CREDIT SUISSE AG
Type 4: advising on securities
14 Mar 2012 - 16 Sep 2015
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.