Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, PUI MAN
Chinese Name of Relevant Individual
何珮雯
HKMA Registration Number
AF9126
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Jul 2023
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Jul 2023
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Jul 2023
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
Since 10 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Feb 2022 - 02 May 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
22 Feb 2022 - 02 May 2023
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
05 May 2020 - 03 Dec 2021
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
05 May 2020 - 03 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jun 2018 - 24 Apr 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
02 Dec 2015 - 09 Apr 2018
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 Dec 2015 - 09 Apr 2018
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
02 Dec 2015 - 09 Apr 2018
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
02 Mar 2013 - 20 Sep 2015
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
02 Mar 2013 - 20 Sep 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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
HO, PUI MAN
:
Chinese Name of Relevant Individual
何珮雯
:
HKMA Registration Number
AF9126
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
10 Jul 2023
No
RELATIONSHIP MANAGEMENT
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
10 Jul 2023
No
RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9126
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 10 Jul 2023
No
AF9126
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 10 Jul 2023
No
AF9126
BNP PARIBAS
Type 1: dealing in securities
22 Feb 2022 - 02 May 2023
No
AF9126
BNP PARIBAS
Type 4: advising on securities
22 Feb 2022 - 02 May 2023
No
AF9126
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 May 2020 - 03 Dec 2021
No
AF9126
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 May 2020 - 03 Dec 2021
No
AF9126
UBS AG
Type 1: dealing in securities
08 Jun 2018 - 24 Apr 2020
No
AF9126
HANG SENG BANK, LIMITED
Type 1: dealing in securities
02 Dec 2015 - 09 Apr 2018
No
AF9126
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Dec 2015 - 09 Apr 2018
No
AF9126
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
02 Dec 2015 - 09 Apr 2018
No
AF9126
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Mar 2013 - 20 Sep 2015
No
AF9126
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Mar 2013 - 20 Sep 2015
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.