Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, KAM WA
Chinese Name of Relevant Individual
潘錦華
HKMA Registration Number
AF2839
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR, WEALTH MANAGEMENT
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Aug 2021
Is an Executive Officer? (Yes / No)
No
Capacity
INVESTMENT ADVISOR, WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Aug 2021
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
Since 19 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2019 - 31 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2019 - 31 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Apr 2019 - 31 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Apr 2019 - 31 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jan 2016 - 10 Oct 2018
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
11 Jan 2016 - 10 Oct 2018
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
11 Jan 2016 - 10 Oct 2018
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
04 Jul 2015 - 23 Sep 2015
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
04 Jul 2015 - 23 Sep 2015
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
08 Sep 2011 - 21 Jan 2015
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
08 Sep 2011 - 21 Jan 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, KAM WA
:
Chinese Name of Relevant Individual
潘錦華
:
HKMA Registration Number
AF2839
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
19 Aug 2021
No
INVESTMENT ADVISOR, WEALTH MANAGEMENT
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
19 Aug 2021
No
INVESTMENT ADVISOR, WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2839
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 19 Aug 2021
No
AF2839
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 19 Aug 2021
No
AF2839
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019 - 31 Jul 2021
No
AF2839
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019 - 31 Jul 2021
No
AF2839
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Apr 2019 - 31 Jul 2021
No
AF2839
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Apr 2019 - 31 Jul 2021
No
AF2839
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Jan 2016 - 10 Oct 2018
No
AF2839
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Jan 2016 - 10 Oct 2018
No
AF2839
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Jan 2016 - 10 Oct 2018
No
AF2839
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jul 2015 - 23 Sep 2015
No
AF2839
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
04 Jul 2015 - 23 Sep 2015
No
AF2839
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
08 Sep 2011 - 21 Jan 2015
No
AF2839
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
08 Sep 2011 - 21 Jan 2015
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.