Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, SHUNG MAN
Chinese Name of Relevant Individual
關崇文
HKMA Registration Number
AG9036
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Sep 2022 - 16 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Sep 2022 - 16 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2021 - 07 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2021 - 07 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2019 - 22 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Aug 2019 - 22 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2019 - 24 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Feb 2019 - 24 Jul 2019
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
01 Jun 2017 - 16 Jan 2019
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
09 Mar 2016 - 16 Jan 2019
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
18 Sep 2015 - 16 Jan 2019
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
18 Sep 2015 - 11 Sep 2016
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
KWAN, SHUNG MAN
:
Chinese Name of Relevant Individual
關崇文
:
HKMA Registration Number
AG9036
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9036
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
06 Sep 2022 - 16 Nov 2022
No
AG9036
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
06 Sep 2022 - 16 Nov 2022
No
AG9036
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
21 Oct 2021 - 07 Aug 2022
No
AG9036
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
21 Oct 2021 - 07 Aug 2022
No
AG9036
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
28 Aug 2019 - 22 Aug 2021
No
AG9036
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
28 Aug 2019 - 22 Aug 2021
No
AG9036
DAH SING BANK, LIMITED
Type 1: dealing in securities
28 Feb 2019 - 24 Jul 2019
No
AG9036
DAH SING BANK, LIMITED
Type 4: advising on securities
28 Feb 2019 - 24 Jul 2019
No
AG9036
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Jun 2017 - 16 Jan 2019
No
AG9036
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Mar 2016 - 16 Jan 2019
No
AG9036
HANG SENG BANK, LIMITED
Type 1: dealing in securities
18 Sep 2015 - 16 Jan 2019
No
AG9036
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Sep 2015 - 11 Sep 2016
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.