Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KO, PIK WAN
Chinese Name of Relevant Individual
高碧芸
HKMA Registration Number
AF9403
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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 May 2019 - 26 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 May 2019 - 26 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
19 Dec 2017 - 17 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2013 - 17 Jul 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
KO, PIK WAN
:
Chinese Name of Relevant Individual
高碧芸
:
HKMA Registration Number
AF9403
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF9403
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
02 May 2019 - 26 Jan 2020
No
AF9403
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
02 May 2019 - 26 Jan 2020
No
AF9403
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
19 Dec 2017 - 17 Jul 2018
No
AF9403
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
04 Apr 2013 - 17 Jul 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.