Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, SIU HA
Chinese Name of Relevant Individual
關少霞
HKMA Registration Number
AC7866
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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Sep 2012 - 20 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Sep 2012 - 20 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Sep 2012 - 20 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jun 2011 - 04 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jun 2011 - 04 Aug 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2010 - 13 Apr 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Apr 2008 - 18 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2005 - 03 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2005 - 03 Mar 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
KWAN, SIU HA
:
Chinese Name of Relevant Individual
關少霞
:
HKMA Registration Number
AC7866
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7866
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Sep 2012 - 20 Feb 2013
No
AC7866
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Sep 2012 - 20 Feb 2013
No
AC7866
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Sep 2012 - 20 Feb 2013
No
AC7866
DAH SING BANK, LIMITED
Type 1: dealing in securities
18 Jun 2011 - 04 Aug 2012
No
AC7866
DAH SING BANK, LIMITED
Type 4: advising on securities
18 Jun 2011 - 04 Aug 2012
No
AC7866
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2010 - 13 Apr 2011
No
AC7866
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
08 Apr 2008 - 18 Mar 2010
No
AC7866
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
21 Dec 2005 - 03 Mar 2008
No
AC7866
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
21 Dec 2005 - 03 Mar 2008
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.