Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KUAN, CAROL
Chinese Name of Relevant Individual
關加路
HKMA Registration Number
AG5605
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
26 Jul 2016 - 13 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
Effective Period
26 Jul 2016 - 13 May 2026
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
22 Nov 2014 - 13 May 2026
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
22 Nov 2014 - 13 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Dec 2018 - 30 May 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
07 Dec 2018 - 30 May 2025
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
KUAN, CAROL
:
Chinese Name of Relevant Individual
關加路
:
HKMA Registration Number
AG5605
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
26 Jul 2016 - 13 May 2026
No
AG5605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
26 Jul 2016 - 13 May 2026
No
AG5605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
22 Nov 2014 - 13 May 2026
No
AG5605
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
22 Nov 2014 - 13 May 2026
No
AG5605
HSBC BANK PLC
Type 1: dealing in securities
07 Dec 2018 - 30 May 2025
No
AG5605
HSBC BANK PLC
Type 4: advising on securities
07 Dec 2018 - 30 May 2025
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.