Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, CHI WAI NICOL
Chinese Name of Relevant Individual
潘志偉
HKMA Registration Number
AC7745
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Dec 2014 - 31 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Dec 2014 - 31 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2012 - 23 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
10 Oct 2012 - 23 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
10 Oct 2012 - 23 Nov 2014
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
01 Dec 2005 - 14 Sep 2012
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
01 Dec 2005 - 14 Sep 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, CHI WAI NICOL
:
Chinese Name of Relevant Individual
潘志偉
:
HKMA Registration Number
AC7745
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7745
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Dec 2014 - 31 Jan 2023
No
AC7745
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Dec 2014 - 31 Jan 2023
No
AC7745
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Oct 2012 - 23 Nov 2014
No
AC7745
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Oct 2012 - 23 Nov 2014
No
AC7745
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
10 Oct 2012 - 23 Nov 2014
No
AC7745
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
01 Dec 2005 - 14 Sep 2012
No
AC7745
HSBC PRIVATE BANK (SUISSE) SA
Type 9: asset management
01 Dec 2005 - 14 Sep 2012
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.