Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, YEE CHING
Chinese Name of Relevant Individual
關綺晴
HKMA Registration Number
AG8367
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Dec 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Dec 2023
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE BANKING STAFF
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A DES VOEUX 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Dec 2023
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
Since 08 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2021 - 05 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2021 - 05 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Oct 2017 - 11 Oct 2019
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
30 Jul 2015 - 24 Oct 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
30 Jul 2015 - 24 Oct 2015
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, YEE CHING
:
Chinese Name of Relevant Individual
關綺晴
:
HKMA Registration Number
AG8367
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Dec 2023
No
PRIVATE BANKING STAFF
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Dec 2023
No
PRIVATE BANKING STAFF
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG8367
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 08 Dec 2023
No
AG8367
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 08 Dec 2023
No
AG8367
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
28 Oct 2021 - 05 Jun 2023
No
AG8367
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
28 Oct 2021 - 05 Jun 2023
No
AG8367
UBS AG
Type 1: dealing in securities
10 Oct 2017 - 11 Oct 2019
No
AG8367
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jul 2015 - 24 Oct 2015
No
AG8367
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Jul 2015 - 24 Oct 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.