Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHEUNG, WAI
Chinese Name of Relevant Individual
張慧
HKMA Registration Number
AG2088
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
17 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE DIRECTOR
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE 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 17 Sep 2025
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 17 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Oct 2018 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Dec 2015 - 16 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Dec 2015 - 16 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2015 - 15 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2015 - 15 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 Jun 2015 - 15 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2014 - 21 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2014 - 21 Apr 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
CHEUNG, WAI
:
Chinese Name of Relevant Individual
張慧
:
HKMA Registration Number
AG2088
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
17 Sep 2025
No
ASSOCIATE DIRECTOR
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
17 Sep 2025
No
ASSOCIATE 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)
AG2088
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 17 Sep 2025
No
AG2088
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 17 Sep 2025
No
AG2088
UBS AG
Type 1: dealing in securities
31 Oct 2018 - 31 May 2024
No
AG2088
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
11 Dec 2015 - 16 Sep 2018
No
AG2088
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
11 Dec 2015 - 16 Sep 2018
No
AG2088
HANG SENG BANK, LIMITED
Type 1: dealing in securities
22 Jun 2015 - 15 Oct 2015
No
AG2088
HANG SENG BANK, LIMITED
Type 4: advising on securities
22 Jun 2015 - 15 Oct 2015
No
AG2088
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
22 Jun 2015 - 15 Oct 2015
No
AG2088
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
04 Jan 2014 - 21 Apr 2015
No
AG2088
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
04 Jan 2014 - 21 Apr 2015
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.