Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, LOK TUNG KATHERINE
Chinese Name of Relevant Individual
黃樂彤
HKMA Registration Number
AG8659
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
01 Nov 2018 - 08 Feb 2019
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
01 Nov 2018 - 08 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2017 - 11 Oct 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
28 Nov 2017 - 11 Oct 2018
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
21 Aug 2015 - 17 Nov 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
21 Aug 2015 - 17 Nov 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
WONG, LOK TUNG KATHERINE
:
Chinese Name of Relevant Individual
黃樂彤
:
HKMA Registration Number
AG8659
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8659
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
01 Nov 2018 - 08 Feb 2019
No
AG8659
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
01 Nov 2018 - 08 Feb 2019
No
AG8659
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
28 Nov 2017 - 11 Oct 2018
No
AG8659
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
28 Nov 2017 - 11 Oct 2018
No
AG8659
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
21 Aug 2015 - 17 Nov 2016
No
AG8659
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
21 Aug 2015 - 17 Nov 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.