Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KIM, CHI-WOAN
Chinese Name of Relevant Individual
HKMA Registration Number
AH5121
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
29 Sep 2021 - 27 Mar 2022
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
29 Sep 2021 - 27 Mar 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jul 2017 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2017 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 7: providing automated trading services
Effective Period
07 Jul 2017 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
KIM, CHI-WOAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH5121
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5121
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
29 Sep 2021 - 27 Mar 2022
No
AH5121
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
29 Sep 2021 - 27 Mar 2022
No
AH5121
UBS AG
Type 1: dealing in securities
07 Jul 2017 - 13 Sep 2019
No
AH5121
UBS AG
Type 4: advising on securities
07 Jul 2017 - 13 Sep 2019
No
AH5121
UBS AG
Type 7: providing automated trading services
07 Jul 2017 - 13 Sep 2019
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.