Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TSAO, YUEH CHIEN
Chinese Name of Relevant Individual
曹躍慳
HKMA Registration Number
AH1220
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 Oct 2022 - 22 May 2024
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 Oct 2022 - 22 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2019 - 14 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2019 - 14 Oct 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CATHAY UNITED BANK COMPANY, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Apr 2016 - 24 Apr 2019
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
TSAO, YUEH CHIEN
:
Chinese Name of Relevant Individual
曹躍慳
:
HKMA Registration Number
AH1220
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1220
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
26 Oct 2022 - 22 May 2024
No
AH1220
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
26 Oct 2022 - 22 May 2024
No
AH1220
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
21 May 2019 - 14 Oct 2022
No
AH1220
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
21 May 2019 - 14 Oct 2022
No
AH1220
CATHAY UNITED BANK COMPANY, LIMITED
Type 1: dealing in securities
12 Apr 2016 - 24 Apr 2019
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.