Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWONG, HOI YAN
Chinese Name of Relevant Individual
江凱恩
HKMA Registration Number
AH5767
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
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Apr 2024 - 15 Nov 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNION BANCAIRE PRIVÉE, UBP SA
Regulated Activity
Type 4: advising on securities
Effective Period
22 Apr 2024 - 15 Nov 2024
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
26 Jul 2022 - 20 Mar 2023
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
26 Jul 2022 - 20 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Sep 2017 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Sep 2017 - 30 Jun 2022
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
KWONG, HOI YAN
:
Chinese Name of Relevant Individual
江凱恩
:
HKMA Registration Number
AH5767
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH5767
UNION BANCAIRE PRIVÉE, UBP SA
Type 1: dealing in securities
22 Apr 2024 - 15 Nov 2024
No
AH5767
UNION BANCAIRE PRIVÉE, UBP SA
Type 4: advising on securities
22 Apr 2024 - 15 Nov 2024
No
AH5767
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jul 2022 - 20 Mar 2023
No
AH5767
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jul 2022 - 20 Mar 2023
No
AH5767
EFG BANK AG
Type 1: dealing in securities
13 Sep 2017 - 30 Jun 2022
No
AH5767
EFG BANK AG
Type 4: advising on securities
13 Sep 2017 - 30 Jun 2022
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.