Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, KWOK FAI HERMAN
Chinese Name of Relevant Individual
潘國輝
HKMA Registration Number
AA2145
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
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Mar 2010 - 29 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
17 Sep 2007 - 29 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 9: asset management
Effective Period
17 Sep 2007 - 29 Jul 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 16 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 16 Sep 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
01 Apr 2003 - 16 Sep 2007
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
POON, KWOK FAI HERMAN
:
Chinese Name of Relevant Individual
潘國輝
:
HKMA Registration Number
AA2145
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2145
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
01 Mar 2010 - 29 Jul 2011
No
AA2145
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
17 Sep 2007 - 29 Jul 2011
No
AA2145
HSBC PRIVATE BANK (SUISSE) SA
Type 9: asset management
17 Sep 2007 - 29 Jul 2011
No
AA2145
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 16 Sep 2007
No
AA2145
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 16 Sep 2007
No
AA2145
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
01 Apr 2003 - 16 Sep 2007
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.