Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, LING YI
Chinese Name of Relevant Individual
關領宜
HKMA Registration Number
AF8344
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2017 - 28 Aug 2019
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
02 Aug 2017 - 17 Sep 2017
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
02 Aug 2017 - 17 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2017 - 14 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2017 - 14 May 2017
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
04 Dec 2012 - 27 Dec 2016
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
04 Dec 2012 - 27 Dec 2016
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
KWAN, LING YI
:
Chinese Name of Relevant Individual
關領宜
:
HKMA Registration Number
AF8344
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF8344
UBS AG
Type 1: dealing in securities
10 Oct 2017 - 28 Aug 2019
No
AF8344
HANG SENG BANK, LIMITED
Type 1: dealing in securities
02 Aug 2017 - 17 Sep 2017
No
AF8344
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Aug 2017 - 17 Sep 2017
No
AF8344
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
09 Mar 2017 - 14 May 2017
No
AF8344
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
09 Mar 2017 - 14 May 2017
No
AF8344
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Dec 2012 - 27 Dec 2016
No
AF8344
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Dec 2012 - 27 Dec 2016
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.