Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, KA WAI
Chinese Name of Relevant Individual
陳嘉蔚
HKMA Registration Number
AG5635
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
11 Jan 2019 - 06 Mar 2020
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
11 Jan 2019 - 06 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Jun 2018 - 31 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
02 Jun 2018 - 31 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2016 - 04 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2016 - 04 Nov 2016
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
23 Aug 2016 - 26 Aug 2016
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
23 Aug 2016 - 26 Aug 2016
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
31 May 2016 - 03 Jun 2016
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
31 May 2016 - 03 Jun 2016
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
29 Mar 2016 - 01 Apr 2016
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
29 Mar 2016 - 01 Apr 2016
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
20 Jan 2016 - 22 Jan 2016
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
20 Jan 2016 - 22 Jan 2016
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
09 Nov 2015 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 24
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
CHAN, KA WAI
:
Chinese Name of Relevant Individual
陳嘉蔚
:
HKMA Registration Number
AG5635
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5635
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Jan 2019 - 06 Mar 2020
No
AG5635
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Jan 2019 - 06 Mar 2020
No
AG5635
BNP PARIBAS
Type 1: dealing in securities
02 Jun 2018 - 31 Oct 2018
No
AG5635
BNP PARIBAS
Type 4: advising on securities
02 Jun 2018 - 31 Oct 2018
No
AG5635
BNP PARIBAS
Type 1: dealing in securities
01 Nov 2016 - 04 Nov 2016
No
AG5635
BNP PARIBAS
Type 4: advising on securities
01 Nov 2016 - 04 Nov 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
23 Aug 2016 - 26 Aug 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
23 Aug 2016 - 26 Aug 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
31 May 2016 - 03 Jun 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
31 May 2016 - 03 Jun 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
29 Mar 2016 - 01 Apr 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
29 Mar 2016 - 01 Apr 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
20 Jan 2016 - 22 Jan 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
20 Jan 2016 - 22 Jan 2016
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
09 Nov 2015 - 13 Nov 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
09 Nov 2015 - 13 Nov 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
28 Aug 2015 - 02 Sep 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
28 Aug 2015 - 02 Sep 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
12 Jun 2015 - 17 Jun 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
12 Jun 2015 - 17 Jun 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
16 Jan 2015 - 21 Jan 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
16 Jan 2015 - 21 Jan 2015
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
25 Nov 2014 - 28 Nov 2014
No
AG5635
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
25 Nov 2014 - 28 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.