Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, CHING HO ALEX
Chinese Name of Relevant Individual
關正晧
HKMA Registration Number
AC9802
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 EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Sep 2019 - 02 Mar 2025
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
14 Sep 2019 - 02 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2016 - 02 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Nov 2016 - 02 Jun 2019
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
23 Mar 2011 - 23 Jul 2016
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
23 Mar 2011 - 23 Jul 2016
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
21 Jun 2006 - 26 Mar 2008
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
21 Jun 2006 - 26 Mar 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Jun 2006 - 26 Mar 2008
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
21 Jun 2006 - 26 Mar 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, CHING HO ALEX
:
Chinese Name of Relevant Individual
關正晧
:
HKMA Registration Number
AC9802
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
14 Sep 2019 - 02 Mar 2025
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
14 Sep 2019 - 02 Mar 2025
No
AC9802
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
18 Nov 2016 - 02 Jun 2019
No
AC9802
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
18 Nov 2016 - 02 Jun 2019
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
23 Mar 2011 - 23 Jul 2016
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
23 Mar 2011 - 23 Jul 2016
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
21 Jun 2006 - 26 Mar 2008
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
21 Jun 2006 - 26 Mar 2008
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
21 Jun 2006 - 26 Mar 2008
No
AC9802
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
21 Jun 2006 - 26 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.