Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HAU, WING FAI ELLA
Chinese Name of Relevant Individual
侯穎暉
HKMA Registration Number
AG5454
Other HKMA Registration Number(s)
AF3316
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
26 Feb 2016 - 29 May 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
26 Feb 2016 - 29 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2014 - 12 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Nov 2014 - 12 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Nov 2014 - 12 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
10 Nov 2014 - 12 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Oct 2011 - 07 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
12 Oct 2011 - 07 Nov 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
HAU, WING FAI ELLA
:
Chinese Name of Relevant Individual
侯穎暉
:
HKMA Registration Number
AG5454
:
Other HKMA Registration Number(s)
AF3316
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5454
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
26 Feb 2016 - 29 May 2025
No
AG5454
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
26 Feb 2016 - 29 May 2025
No
AG5454
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Nov 2014 - 12 Aug 2015
No
AG5454
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Nov 2014 - 12 Aug 2015
No
AG5454
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Nov 2014 - 12 Aug 2015
No
AG5454
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
10 Nov 2014 - 12 Aug 2015
No
AF3316
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
12 Oct 2011 - 07 Nov 2014
No
AF3316
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
12 Oct 2011 - 07 Nov 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.