Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LUM, SWEE CHING
Chinese Name of Relevant Individual
林水娟
HKMA Registration Number
AH7478
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
15 Jan 2025 - 19 Sep 2025
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
15 Jan 2025 - 19 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Mar 2018 - 23 Jul 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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
LUM, SWEE CHING
:
Chinese Name of Relevant Individual
林水娟
:
HKMA Registration Number
AH7478
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7478
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
15 Jan 2025 - 19 Sep 2025
No
AH7478
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
15 Jan 2025 - 19 Sep 2025
No
AH7478
UBS AG
Type 1: dealing in securities
27 Mar 2018 - 23 Jul 2024
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.