Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YAN, YVONNE YU
Chinese Name of Relevant Individual
顏玉
HKMA Registration Number
AF6592
Other HKMA Registration Number(s)
AC7532
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
20 Apr 2024 - 09 Dec 2024
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
20 Apr 2024 - 09 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Feb 2023 - 28 Nov 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
16 Feb 2023 - 28 Nov 2023
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
12 Mar 2019 - 25 Nov 2022
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
12 Mar 2019 - 25 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2017 - 08 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2017 - 08 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2017 - 08 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Aug 2017 - 08 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 22 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 22 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2012 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2012 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2005 - 17 Apr 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
YAN, YVONNE YU
:
Chinese Name of Relevant Individual
顏玉
:
HKMA Registration Number
AF6592
:
Other HKMA Registration Number(s)
AC7532
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6592
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
20 Apr 2024 - 09 Dec 2024
No
AF6592
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
20 Apr 2024 - 09 Dec 2024
No
AF6592
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
16 Feb 2023 - 28 Nov 2023
No
AF6592
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
16 Feb 2023 - 28 Nov 2023
No
AF6592
CREDIT SUISSE AG
Type 1: dealing in securities
12 Mar 2019 - 25 Nov 2022
No
AF6592
CREDIT SUISSE AG
Type 4: advising on securities
12 Mar 2019 - 25 Nov 2022
No
AF6592
CITIBANK, N.A.
Type 1: dealing in securities
08 Aug 2017 - 08 Feb 2019
No
AF6592
CITIBANK, N.A.
Type 4: advising on securities
08 Aug 2017 - 08 Feb 2019
No
AF6592
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Aug 2017 - 08 Feb 2019
No
AF6592
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
08 Aug 2017 - 08 Feb 2019
No
AF6592
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 22 Jun 2017
No
AF6592
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 22 Jun 2017
No
AF6592
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
20 Jul 2012 - 30 Sep 2016
No
AF6592
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
20 Jul 2012 - 30 Sep 2016
No
AC7532
CITIBANK, N.A.
Type 1: dealing in securities
08 Nov 2005 - 17 Apr 2008
No
AC7532
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Nov 2005 - 17 Apr 2008
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.