Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, SHUK MAN
Chinese Name of Relevant Individual
關淑敏
HKMA Registration Number
AG3177
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 May 2018 - 10 Jul 2022
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 May 2018 - 10 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Nov 2015 - 13 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Nov 2015 - 13 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Apr 2014 - 14 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Apr 2014 - 14 Nov 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, SHUK MAN
:
Chinese Name of Relevant Individual
關淑敏
:
HKMA Registration Number
AG3177
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3177
CREDIT SUISSE AG
Type 1: dealing in securities
24 May 2018 - 10 Jul 2022
No
AG3177
CREDIT SUISSE AG
Type 4: advising on securities
24 May 2018 - 10 Jul 2022
No
AG3177
CTBC BANK CO., LTD.
Type 1: dealing in securities
24 Nov 2015 - 13 May 2018
No
AG3177
CTBC BANK CO., LTD.
Type 4: advising on securities
24 Nov 2015 - 13 May 2018
No
AG3177
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
18 Apr 2014 - 14 Nov 2015
No
AG3177
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
18 Apr 2014 - 14 Nov 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.