Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUPTA, MOHIT KUMAR
Chinese Name of Relevant Individual
古茂喜
HKMA Registration Number
AF5557
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
07 Oct 2020 - 18 Aug 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
07 Oct 2020 - 18 Aug 2021
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
02 Apr 2012 - 24 Jul 2020
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
02 Apr 2012 - 24 Jul 2020
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
GUPTA, MOHIT KUMAR
:
Chinese Name of Relevant Individual
古茂喜
:
HKMA Registration Number
AF5557
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5557
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
07 Oct 2020 - 18 Aug 2021
No
AF5557
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
07 Oct 2020 - 18 Aug 2021
No
AF5557
CREDIT SUISSE AG
Type 1: dealing in securities
02 Apr 2012 - 24 Jul 2020
No
AF5557
CREDIT SUISSE AG
Type 4: advising on securities
02 Apr 2012 - 24 Jul 2020
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.