Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
POON, KA KI
Chinese Name of Relevant Individual
HKMA Registration Number
AH2388
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 AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jul 2022 - 22 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jul 2022 - 22 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
30 Jul 2022 - 22 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Aug 2016 - 29 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
17 Aug 2016 - 29 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Aug 2016 - 29 Jun 2018
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
POON, KA KI
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH2388
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2388
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
30 Jul 2022 - 22 Dec 2023
No
AH2388
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
30 Jul 2022 - 22 Dec 2023
No
AH2388
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
30 Jul 2022 - 22 Dec 2023
No
AH2388
DBS BANK LTD.
Type 1: dealing in securities
17 Aug 2016 - 29 Jun 2018
No
AH2388
DBS BANK LTD.
Type 4: advising on securities
17 Aug 2016 - 29 Jun 2018
No
AH2388
DBS BANK LTD.
Type 6: advising on corporate finance
17 Aug 2016 - 29 Jun 2018
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.