Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LEE, KONG ENG
Chinese Name of Relevant Individual
李光榮
HKMA Registration Number
AG1159
Other HKMA Registration Number(s)
AD3774
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
06 Jan 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jan 2016
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING 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 06 Jan 2016
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 06 Jan 2016
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
06 Dec 2013 - 31 Jul 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
06 Dec 2013 - 31 Jul 2015
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Sep 2013 - 05 Dec 2013
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
27 Sep 2013 - 05 Dec 2013
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
05 Sep 2008 - 11 Sep 2008
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
26 May 2007 - 27 May 2007
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
LEE, KONG ENG
:
Chinese Name of Relevant Individual
李光榮
:
HKMA Registration Number
AG1159
:
Other HKMA Registration Number(s)
AD3774
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
06 Jan 2016
No
MANAGING DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
06 Jan 2016
No
MANAGING 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)
AG1159
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 06 Jan 2016
No
AG1159
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 06 Jan 2016
No
AG1159
CREDIT SUISSE AG
Type 1: dealing in securities
06 Dec 2013 - 31 Jul 2015
Yes
AG1159
CREDIT SUISSE AG
Type 4: advising on securities
06 Dec 2013 - 31 Jul 2015
Yes
AG1159
CREDIT SUISSE AG
Type 1: dealing in securities
27 Sep 2013 - 05 Dec 2013
No
AG1159
CREDIT SUISSE AG
Type 4: advising on securities
27 Sep 2013 - 05 Dec 2013
No
AD3774
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
05 Sep 2008 - 11 Sep 2008
No
AD3774
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
26 May 2007 - 27 May 2007
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.