Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KU, SO FAN
Chinese Name of Relevant Individual
古素芬
HKMA Registration Number
AF5043
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Sep 2018 - 26 Jun 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
24 Sep 2018 - 26 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Sep 2015 - 27 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
23 Sep 2015 - 27 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2014 - 27 Apr 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Feb 2012 - 07 Jan 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FALCON PRIVATE BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Feb 2012 - 07 Jan 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
KU, SO FAN
:
Chinese Name of Relevant Individual
古素芬
:
HKMA Registration Number
AF5043
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5043
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Sep 2018 - 26 Jun 2020
No
AF5043
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Sep 2018 - 26 Jun 2020
No
AF5043
CREDIT SUISSE AG
Type 1: dealing in securities
23 Sep 2015 - 27 Jul 2018
No
AF5043
CREDIT SUISSE AG
Type 4: advising on securities
23 Sep 2015 - 27 Jul 2018
No
AF5043
UBS AG
Type 1: dealing in securities
06 Feb 2014 - 27 Apr 2015
No
AF5043
FALCON PRIVATE BANK LTD.
Type 1: dealing in securities
21 Feb 2012 - 07 Jan 2014
No
AF5043
FALCON PRIVATE BANK LTD.
Type 4: advising on securities
21 Feb 2012 - 07 Jan 2014
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.