Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, LAI ON WARREN
Chinese Name of Relevant Individual
關澧安
HKMA Registration Number
AC9792
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
BANK OF NOVA SCOTIA (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2011 - 10 Nov 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF NOVA SCOTIA (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
06 May 2011 - 10 Nov 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2008 - 03 Dec 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2008 - 03 Dec 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2007 - 23 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jul 2007 - 23 Jan 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jun 2006 - 16 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD BANK ASIA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jun 2006 - 16 Apr 2007
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
KWAN, LAI ON WARREN
:
Chinese Name of Relevant Individual
關澧安
:
HKMA Registration Number
AC9792
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9792
BANK OF NOVA SCOTIA (THE)
Type 1: dealing in securities
06 May 2011 - 10 Nov 2011
Yes
AC9792
BANK OF NOVA SCOTIA (THE)
Type 4: advising on securities
06 May 2011 - 10 Nov 2011
Yes
AC9792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jan 2008 - 03 Dec 2009
Yes
AC9792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Jan 2008 - 03 Dec 2009
Yes
AC9792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Jul 2007 - 23 Jan 2008
No
AC9792
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Jul 2007 - 23 Jan 2008
No
AC9792
STANDARD BANK ASIA LIMITED
Type 1: dealing in securities
21 Jun 2006 - 16 Apr 2007
No
AC9792
STANDARD BANK ASIA LIMITED
Type 4: advising on securities
21 Jun 2006 - 16 Apr 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.