Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWAN, HO YEE
Chinese Name of Relevant Individual
關浩誼
HKMA Registration Number
AI7120
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
08 Jun 2022 - 02 Aug 2024
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
08 Jun 2022 - 02 Aug 2024
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
19 Jul 2021 - 23 May 2022
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
19 Jul 2021 - 23 May 2022
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
19 Jul 2021 - 23 May 2022
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
KWAN, HO YEE
:
Chinese Name of Relevant Individual
關浩誼
:
HKMA Registration Number
AI7120
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7120
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
08 Jun 2022 - 02 Aug 2024
No
AI7120
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
08 Jun 2022 - 02 Aug 2024
No
AI7120
HANG SENG BANK, LIMITED
Type 1: dealing in securities
19 Jul 2021 - 23 May 2022
No
AI7120
HANG SENG BANK, LIMITED
Type 4: advising on securities
19 Jul 2021 - 23 May 2022
No
AI7120
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
19 Jul 2021 - 23 May 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.