Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, KWOK MAN
Chinese Name of Relevant Individual
何國文
HKMA Registration Number
AC9941
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF INVESTMENT CONSULTANT
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
11 Oct 2022
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF INVESTMENT CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
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
Since 11 Oct 2022
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
Since 11 Oct 2022
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
23 Feb 2022 - 02 Sep 2022
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
23 Feb 2022 - 02 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Sep 2011 - 20 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Sep 2011 - 20 Jan 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2010 - 22 Aug 2011
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
28 Aug 2010 - 22 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2009 - 26 Jul 2010
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
04 Jul 2006 - 20 Aug 2009
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
HO, KWOK MAN
:
Chinese Name of Relevant Individual
何國文
:
HKMA Registration Number
AC9941
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
11 Oct 2022
No
HEAD OF INVESTMENT CONSULTANT
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
11 Oct 2022
No
HEAD OF INVESTMENT CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9941
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 11 Oct 2022
No
AC9941
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 11 Oct 2022
No
AC9941
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Feb 2022 - 02 Sep 2022
No
AC9941
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Feb 2022 - 02 Sep 2022
No
AC9941
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Sep 2011 - 20 Jan 2022
No
AC9941
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Sep 2011 - 20 Jan 2022
No
AC9941
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Aug 2010 - 22 Aug 2011
No
AC9941
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Aug 2010 - 22 Aug 2011
No
AC9941
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
03 Nov 2009 - 26 Jul 2010
No
AC9941
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jul 2006 - 20 Aug 2009
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.