Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, KWAN YAN
Chinese Name of Relevant Individual
HKMA Registration Number
AF2922
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
FX & RATES FLOW SALES, GLOBAL MARKETS DIVISION
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
FX & RATES FLOW SALES, GLOBAL MARKETS DIVISION
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, 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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Jun 2025
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
05 Oct 2021 - 30 Apr 2025
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
05 Oct 2021 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2021 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2021 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Jul 2020 - 10 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2018 - 15 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
07 Dec 2018 - 15 Apr 2020
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
31 Oct 2014 - 15 Apr 2020
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
31 Oct 2014 - 15 Apr 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jun 2012 - 10 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jun 2012 - 10 Oct 2014
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
07 May 2012 - 10 Jun 2012
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
07 May 2012 - 10 Jun 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
WONG, KWAN YAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF2922
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
04 Jun 2025
No
FX & RATES FLOW SALES, GLOBAL MARKETS DIVISION
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
04 Jun 2025
No
FX & RATES FLOW SALES, GLOBAL MARKETS DIVISION
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF2922
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 04 Jun 2025
No
AF2922
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 04 Jun 2025
No
AF2922
CITIBANK, N.A.
Type 1: dealing in securities
05 Oct 2021 - 30 Apr 2025
No
AF2922
CITIBANK, N.A.
Type 4: advising on securities
05 Oct 2021 - 30 Apr 2025
No
AF2922
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Oct 2021 - 30 Apr 2025
No
AF2922
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
05 Oct 2021 - 30 Apr 2025
No
AF2922
ROYAL BANK OF CANADA
Type 1: dealing in securities
27 Jul 2020 - 10 Jun 2021
No
AF2922
HSBC BANK PLC
Type 1: dealing in securities
07 Dec 2018 - 15 Apr 2020
No
AF2922
HSBC BANK PLC
Type 4: advising on securities
07 Dec 2018 - 15 Apr 2020
No
AF2922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
31 Oct 2014 - 15 Apr 2020
No
AF2922
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
31 Oct 2014 - 15 Apr 2020
No
AF2922
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
15 Jun 2012 - 10 Oct 2014
No
AF2922
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
15 Jun 2012 - 10 Oct 2014
No
AF2922
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 May 2012 - 10 Jun 2012
No
AF2922
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 May 2012 - 10 Jun 2012
No
AF2922
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Dec 2011 - 01 Feb 2012
No
AF2922
HANG SENG BANK, LIMITED
Type 1: dealing in securities
15 Sep 2011 - 01 Feb 2012
No
AF2922
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
15 Sep 2011 - 01 Feb 2012
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.