Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
GUPTA, CHANDAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG4974
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
09 Jun 2017 - 13 Jun 2022
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
09 Jun 2017 - 13 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2016 - 19 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2014 - 23 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2014 - 23 Feb 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
GUPTA, CHANDAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG4974
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4974
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
09 Jun 2017 - 13 Jun 2022
No
AG4974
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Jun 2017 - 13 Jun 2022
No
AG4974
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
12 Mar 2016 - 19 May 2017
No
AG4974
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Oct 2014 - 23 Feb 2016
No
AG4974
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Oct 2014 - 23 Feb 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.