Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HA, PO KWAN
Chinese Name of Relevant Individual
夏寶均
HKMA Registration Number
AC6144
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
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Oct 2012 - 18 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
16 Oct 2012 - 18 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 9: asset management
Effective Period
25 Oct 2011 - 21 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Feb 2011 - 21 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Feb 2011 - 21 May 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Feb 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Feb 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
06 Nov 2009 - 21 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2009 - 21 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2009 - 21 Oct 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
01 Sep 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Aug 2008 - 31 Aug 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
19 Aug 2008 - 31 Aug 2009
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
06 Jul 2005 - 03 Aug 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Action Date
Action Taken
Press Release Download
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
HA, PO KWAN
:
Chinese Name of Relevant Individual
夏寶均
:
HKMA Registration Number
AC6144
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6144
CTBC BANK CO., LTD.
Type 1: dealing in securities
16 Oct 2012 - 18 Feb 2018
No
AC6144
CTBC BANK CO., LTD.
Type 4: advising on securities
16 Oct 2012 - 18 Feb 2018
No
AC6144
FALCON PRIVATE BANK LTD.
Type 9: asset management
25 Oct 2011 - 21 May 2012
No
AC6144
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
19 Feb 2011 - 21 May 2012
No
AC6144
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
19 Feb 2011 - 21 May 2012
No
AC6144
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
15 Feb 2011
No
AC6144
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
15 Feb 2011
No
AC6144
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
06 Nov 2009 - 21 Oct 2010
No
AC6144
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
01 Sep 2009 - 21 Oct 2010
No
AC6144
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
01 Sep 2009 - 21 Oct 2010
No
AC6144
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
01 Sep 2009
No
AC6144
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
19 Aug 2008 - 31 Aug 2009
No
AC6144
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
19 Aug 2008 - 31 Aug 2009
No
AC6144
CITIBANK, N.A.
Type 1: dealing in securities
06 Jul 2005 - 03 Aug 2008
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Action Date
Action Taken
Press Release Download
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.