Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHU, CALEB
Chinese Name of Relevant Individual
朱家立
HKMA Registration Number
AF6669
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Nov 2020
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF INVESTMENT CONSULTING
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Nov 2020
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF INVESTMENT CONSULTING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD 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 J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 25 Nov 2020
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
22 Jul 2019 - 16 Nov 2020
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
22 Jul 2019 - 16 Nov 2020
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 - 18 Jul 2019
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 - 18 Jul 2019
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
27 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
27 Jul 2012 - 30 Sep 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, CALEB
:
Chinese Name of Relevant Individual
朱家立
:
HKMA Registration Number
AF6669
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
25 Nov 2020
No
STAFF OF INVESTMENT CONSULTING
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
25 Nov 2020
No
STAFF OF INVESTMENT CONSULTING
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6669
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 25 Nov 2020
No
AF6669
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 25 Nov 2020
No
AF6669
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
22 Jul 2019 - 16 Nov 2020
No
AF6669
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
22 Jul 2019 - 16 Nov 2020
No
AF6669
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 18 Jul 2019
No
AF6669
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 18 Jul 2019
No
AF6669
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
27 Jul 2012 - 30 Sep 2016
No
AF6669
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
27 Jul 2012 - 30 Sep 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.