Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BAADER, KLAUS ALVARO
Chinese Name of Relevant Individual
HKMA Registration Number
AG3572
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
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2014 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2014 - 06 Jul 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2014 - 30 Apr 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2014 - 30 Apr 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2014 - 16 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2014 - 16 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2014 - 16 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2014 - 16 Jul 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
BAADER, KLAUS ALVARO
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3572
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3572
SOCIETE GENERALE
Type 1: dealing in securities
17 Jul 2014 - 06 Jul 2018
Yes
AG3572
SOCIETE GENERALE
Type 4: advising on securities
17 Jul 2014 - 06 Jul 2018
Yes
AG3572
SOCIETE GENERALE ASIA LIMITED
Type 1: dealing in securities
17 Jul 2014 - 30 Apr 2018
Yes
AG3572
SOCIETE GENERALE ASIA LIMITED
Type 4: advising on securities
17 Jul 2014 - 30 Apr 2018
Yes
AG3572
SOCIETE GENERALE
Type 1: dealing in securities
31 May 2014 - 16 Jul 2014
No
AG3572
SOCIETE GENERALE
Type 4: advising on securities
31 May 2014 - 16 Jul 2014
No
AG3572
SOCIETE GENERALE ASIA LIMITED
Type 1: dealing in securities
31 May 2014 - 16 Jul 2014
No
AG3572
SOCIETE GENERALE ASIA LIMITED
Type 4: advising on securities
31 May 2014 - 16 Jul 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.