Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CHAN, HO KWAN
Chinese Name of Relevant Individual
陳灝鈞
HKMA Registration Number
AF6473
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2020 - 18 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2020 - 18 Jan 2021
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
26 Sep 2019 - 30 Sep 2020
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
26 Sep 2019 - 30 Sep 2020
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
16 Aug 2018 - 01 Sep 2019
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
16 Aug 2018 - 01 Sep 2019
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
16 Aug 2018 - 01 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2017 - 29 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
11 Oct 2017 - 29 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Nov 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
21 Nov 2014 - 21 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Nov 2014 - 17 Nov 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
15 Nov 2014 - 17 Nov 2014
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
09 Jul 2012 - 31 Oct 2014
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
09 Jul 2012 - 31 Oct 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
CHAN, HO KWAN
:
Chinese Name of Relevant Individual
陳灝鈞
:
HKMA Registration Number
AF6473
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6473
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
05 Oct 2020 - 18 Jan 2021
No
AF6473
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
05 Oct 2020 - 18 Jan 2021
No
AF6473
CREDIT SUISSE AG
Type 1: dealing in securities
26 Sep 2019 - 30 Sep 2020
No
AF6473
CREDIT SUISSE AG
Type 4: advising on securities
26 Sep 2019 - 30 Sep 2020
No
AF6473
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 Aug 2018 - 01 Sep 2019
No
AF6473
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 Aug 2018 - 01 Sep 2019
No
AF6473
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
16 Aug 2018 - 01 Sep 2019
No
AF6473
BNP PARIBAS
Type 1: dealing in securities
11 Oct 2017 - 29 Jun 2018
No
AF6473
BNP PARIBAS
Type 4: advising on securities
11 Oct 2017 - 29 Jun 2018
No
AF6473
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
21 Nov 2014 - 21 Apr 2017
No
AF6473
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
21 Nov 2014 - 21 Apr 2017
No
AF6473
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
15 Nov 2014 - 17 Nov 2014
No
AF6473
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
15 Nov 2014 - 17 Nov 2014
No
AF6473
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
09 Jul 2012 - 31 Oct 2014
No
AF6473
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
09 Jul 2012 - 31 Oct 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.