Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAPPETTA, JOHN WILLIAM
Chinese Name of Relevant Individual
HKMA Registration Number
AI0502
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
09 Aug 2019 - 15 Aug 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
09 Aug 2019 - 15 Aug 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
04 Apr 2019 - 09 Apr 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
04 Apr 2019 - 09 Apr 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
11 Jan 2019 - 15 Jan 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
11 Jan 2019 - 15 Jan 2019
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
CAPPETTA, JOHN WILLIAM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AI0502
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI0502
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
09 Aug 2019 - 15 Aug 2019
No
AI0502
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Aug 2019 - 15 Aug 2019
No
AI0502
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
04 Apr 2019 - 09 Apr 2019
No
AI0502
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
04 Apr 2019 - 09 Apr 2019
No
AI0502
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
11 Jan 2019 - 15 Jan 2019
No
AI0502
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
11 Jan 2019 - 15 Jan 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.