Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WANG, YA
Chinese Name of Relevant Individual
王雅
HKMA Registration Number
AI2997
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Nov 2023 - 28 Feb 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Nov 2023 - 28 Feb 2025
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
09 Oct 2019 - 16 Jul 2021
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 Oct 2019 - 16 Jul 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
WANG, YA
:
Chinese Name of Relevant Individual
王雅
:
HKMA Registration Number
AI2997
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2997
EFG BANK AG
Type 1: dealing in securities
07 Nov 2023 - 28 Feb 2025
No
AI2997
EFG BANK AG
Type 4: advising on securities
07 Nov 2023 - 28 Feb 2025
No
AI2997
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
09 Oct 2019 - 16 Jul 2021
No
AI2997
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
09 Oct 2019 - 16 Jul 2021
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.