Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
HO, WAN KAM
Chinese Name of Relevant Individual
何韻琴
HKMA Registration Number
AH0546
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
26 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Remarks
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
26 Jun 2019
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
SFC CE number
AGN963
Business Address
G/F (SHOP B), 11/F, 20/F, 22/F, 23/F & 36/F, EVERBRIGHT CENTRE, 108 GLOUCESTER ROAD, WANCHAI, 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
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 26 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 26 Jun 2019
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
02 Aug 2018 - 03 Jun 2019
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
02 Aug 2018 - 03 Jun 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2016 - 24 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jul 2016 - 24 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NOVA SCOTIA (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Feb 2016 - 13 Apr 2016
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
HO, WAN KAM
:
Chinese Name of Relevant Individual
何韻琴
:
HKMA Registration Number
AH0546
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
26 Jun 2019
No
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
26 Jun 2019
No
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA EVERBRIGHT BANK CO., LTD.
AGN963
G/F (SHOP B), 11/F, 20/F, 22/F, 23/F & 36/F, EVERBRIGHT CENTRE, 108 GLOUCESTER ROAD, WANCHAI, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0546
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
Since 26 Jun 2019
No
AH0546
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
Since 26 Jun 2019
No
AH0546
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Aug 2018 - 03 Jun 2019
No
AH0546
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Aug 2018 - 03 Jun 2019
No
AH0546
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
12 Jul 2016 - 24 Jun 2018
No
AH0546
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
12 Jul 2016 - 24 Jun 2018
No
AH0546
BANK OF NOVA SCOTIA (THE)
Type 1: dealing in securities
02 Feb 2016 - 13 Apr 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.