Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIN YU
Chinese Name of Relevant Individual
陳善如
HKMA Registration Number
AG0215
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 Nov 2018 - 19 Mar 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 Nov 2018 - 19 Mar 2021
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
14 Mar 2017 - 15 Sep 2018
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
14 Mar 2017 - 15 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2015 - 17 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BSI LTD
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2015 - 17 Feb 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2013 - 18 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jul 2013 - 18 Oct 2014
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
CHAN, SIN YU
:
Chinese Name of Relevant Individual
陳善如
:
HKMA Registration Number
AG0215
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0215
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
07 Nov 2018 - 19 Mar 2021
No
AG0215
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
07 Nov 2018 - 19 Mar 2021
No
AG0215
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
14 Mar 2017 - 15 Sep 2018
No
AG0215
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
14 Mar 2017 - 15 Sep 2018
No
AG0215
BSI LTD
Type 1: dealing in securities
18 Jun 2015 - 17 Feb 2017
No
AG0215
BSI LTD
Type 4: advising on securities
18 Jun 2015 - 17 Feb 2017
No
AG0215
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
03 Jul 2013 - 18 Oct 2014
No
AG0215
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
03 Jul 2013 - 18 Oct 2014
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.