Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SO, KWAN
Chinese Name of Relevant Individual
蘇鋆
HKMA Registration Number
AF6672
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING RELATIONSHIP MANAGER
Remarks
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DBS BANK (HONG KONG) LIMITED
SFC CE number
AAL664
Business Address
11TH FLOOR, THE CENTER, 99 QUEEN'S 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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Sep 2023
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
24 Oct 2020 - 18 Aug 2023
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
24 Oct 2020 - 18 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2019 - 04 Sep 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2019 - 04 Sep 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
27 Jun 2018 - 21 May 2019
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
27 Jun 2018 - 21 May 2019
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
28 Jul 2012 - 12 Jun 2018
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
28 Jul 2012 - 12 Jun 2018
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
SO, KWAN
:
Chinese Name of Relevant Individual
蘇鋆
:
HKMA Registration Number
AF6672
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Sep 2023
No
PRIVATE BANKING RELATIONSHIP MANAGER
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Sep 2023
No
PRIVATE BANKING RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
DBS BANK (HONG KONG) LIMITED
AAL664
11TH FLOOR, THE CENTER, 99 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6672
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Sep 2023
No
AF6672
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Sep 2023
No
AF6672
CREDIT SUISSE AG
Type 1: dealing in securities
24 Oct 2020 - 18 Aug 2023
No
AF6672
CREDIT SUISSE AG
Type 4: advising on securities
24 Oct 2020 - 18 Aug 2023
No
AF6672
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
13 Jul 2019 - 04 Sep 2020
No
AF6672
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
13 Jul 2019 - 04 Sep 2020
No
AF6672
CREDIT SUISSE AG
Type 1: dealing in securities
27 Jun 2018 - 21 May 2019
No
AF6672
CREDIT SUISSE AG
Type 4: advising on securities
27 Jun 2018 - 21 May 2019
No
AF6672
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Jul 2012 - 12 Jun 2018
No
AF6672
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Jul 2012 - 12 Jun 2018
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.