Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, SIU YAU
Chinese Name of Relevant Individual
陳少柔
HKMA Registration Number
AH6574
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE MANAGER
Remarks
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
ASSOCIATE MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK JULIUS BAER & CO. LTD.
SFC CE number
AUR302
Business Address
39/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
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
Since 08 Jun 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
Since 08 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2023 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2023 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2023 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2023 - 18 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2020 - 03 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Sep 2020 - 03 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF SINGAPORE LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Aug 2018 - 14 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Dec 2017 - 02 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Dec 2017 - 02 Jul 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, SIU YAU
:
Chinese Name of Relevant Individual
陳少柔
:
HKMA Registration Number
AH6574
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
08 Jun 2024
No
ASSOCIATE MANAGER
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
08 Jun 2024
No
ASSOCIATE MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK JULIUS BAER & CO. LTD.
AUR302
39/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH6574
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
Since 08 Jun 2024
No
AH6574
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
Since 08 Jun 2024
No
AH6574
CITIBANK, N.A.
Type 1: dealing in securities
28 Oct 2023 - 18 Jan 2024
No
AH6574
CITIBANK, N.A.
Type 4: advising on securities
28 Oct 2023 - 18 Jan 2024
No
AH6574
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
28 Oct 2023 - 18 Jan 2024
No
AH6574
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
28 Oct 2023 - 18 Jan 2024
No
AH6574
CREDIT SUISSE AG
Type 1: dealing in securities
19 Sep 2020 - 03 Oct 2023
No
AH6574
CREDIT SUISSE AG
Type 4: advising on securities
19 Sep 2020 - 03 Oct 2023
No
AH6574
BANK OF SINGAPORE LIMITED
Type 1: dealing in securities
08 Aug 2018 - 14 Aug 2020
No
AH6574
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Dec 2017 - 02 Jul 2018
No
AH6574
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Dec 2017 - 02 Jul 2018
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.