Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAU, JESSIE LING LING
Chinese Name of Relevant Individual
劉琳琳
HKMA Registration Number
AG1985
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
29 Oct 2016 - 17 Sep 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
29 Oct 2016 - 17 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
20 Jul 2016 - 09 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2014 - 09 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
17 Dec 2013 - 27 Jun 2014
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
17 Dec 2013 - 27 Jun 2014
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
17 Dec 2013 - 27 Jun 2014
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
17 Dec 2013 - 27 Jun 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
LAU, JESSIE LING LING
:
Chinese Name of Relevant Individual
劉琳琳
:
HKMA Registration Number
AG1985
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1985
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
29 Oct 2016 - 17 Sep 2021
No
AG1985
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
29 Oct 2016 - 17 Sep 2021
No
AG1985
UBS AG
Type 4: advising on securities
20 Jul 2016 - 09 Sep 2016
No
AG1985
UBS AG
Type 1: dealing in securities
26 Jul 2014 - 09 Sep 2016
No
AG1985
CITIBANK, N.A.
Type 1: dealing in securities
17 Dec 2013 - 27 Jun 2014
No
AG1985
CITIBANK, N.A.
Type 4: advising on securities
17 Dec 2013 - 27 Jun 2014
No
AG1985
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Dec 2013 - 27 Jun 2014
No
AG1985
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
17 Dec 2013 - 27 Jun 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.