Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TAN, SHEENA GAT KHIM
Chinese Name of Relevant Individual
陳玉琴
HKMA Registration Number
AG7665
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
06 Jul 2016 - 18 Aug 2017
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
06 Jul 2016 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 May 2015 - 17 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
27 May 2015 - 17 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
TAN, SHEENA GAT KHIM
:
Chinese Name of Relevant Individual
陳玉琴
:
HKMA Registration Number
AG7665
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7665
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
06 Jul 2016 - 18 Aug 2017
No
AG7665
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
06 Jul 2016 - 18 Aug 2017
No
AG7665
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
27 May 2015 - 17 May 2016
No
AG7665
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
27 May 2015 - 17 May 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.