Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PONG, KWOK YAN
Chinese Name of Relevant Individual
龐國恩
HKMA Registration Number
AA1464
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Sep 2013
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INVESTMENT ADVISORY AND EXECUTION
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Sep 2013
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF INVESTMENT ADVISORY AND EXECUTION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
SFC CE number
ACX641
Business Address
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT ROAD 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
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Dec 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 27 Dec 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Sep 2013 - 26 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Sep 2013 - 26 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2005 - 29 Apr 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 May 2005 - 29 Apr 2013
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
01 Apr 2003 - 06 May 2005
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
01 Apr 2003 - 06 May 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
PONG, KWOK YAN
:
Chinese Name of Relevant Individual
龐國恩
:
HKMA Registration Number
AA1464
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
02 Sep 2013
Yes
HEAD OF INVESTMENT ADVISORY AND EXECUTION
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
02 Sep 2013
Yes
HEAD OF INVESTMENT ADVISORY AND EXECUTION
Name of Registered Institution
SFC CE number
Business Address
AGRICULTURAL BANK OF CHINA LIMITED
ACX641
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1464
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
Since 27 Dec 2017
Yes
AA1464
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
Since 27 Dec 2017
Yes
AA1464
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
02 Sep 2013 - 26 Dec 2017
No
AA1464
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
02 Sep 2013 - 26 Dec 2017
No
AA1464
UBS AG
Type 1: dealing in securities
11 May 2005 - 29 Apr 2013
No
AA1464
UBS AG
Type 4: advising on securities
11 May 2005 - 29 Apr 2013
No
AA1464
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 May 2005
No
AA1464
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 May 2005
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.