Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LI, HIU TAN
Chinese Name of Relevant Individual
李曉丹
HKMA Registration Number
AG3717
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
19 Jul 2018 - 08 Nov 2018
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
19 Jul 2018 - 08 Nov 2018
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
30 Mar 2017 - 25 Jun 2018
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
30 Mar 2017 - 25 Jun 2018
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
30 Mar 2017 - 25 Jun 2018
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
30 Mar 2017 - 25 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2014 - 18 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2014 - 18 Apr 2016
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
LI, HIU TAN
:
Chinese Name of Relevant Individual
李曉丹
:
HKMA Registration Number
AG3717
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3717
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
19 Jul 2018 - 08 Nov 2018
No
AG3717
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
19 Jul 2018 - 08 Nov 2018
No
AG3717
CITIBANK, N.A.
Type 1: dealing in securities
30 Mar 2017 - 25 Jun 2018
No
AG3717
CITIBANK, N.A.
Type 4: advising on securities
30 Mar 2017 - 25 Jun 2018
No
AG3717
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
30 Mar 2017 - 25 Jun 2018
No
AG3717
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
30 Mar 2017 - 25 Jun 2018
No
AG3717
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jun 2014 - 18 Apr 2016
No
AG3717
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Jun 2014 - 18 Apr 2016
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.