Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, TUN WAI
Chinese Name of Relevant Individual
郭 敦 威
HKMA Registration Number
AA1657
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
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2011 - 27 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2011 - 27 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2009 - 05 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2009 - 05 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2008 - 13 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Sep 2008 - 13 Apr 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Mar 2006 - 14 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
27 Mar 2006 - 14 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 25 Jul 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 25 Jul 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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
KWOK, TUN WAI
:
Chinese Name of Relevant Individual
郭 敦 威
:
HKMA Registration Number
AA1657
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1657
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Type 1: dealing in securities
01 Jan 2011 - 27 Feb 2012
No
AA1657
BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)
Type 4: advising on securities
01 Jan 2011 - 27 Feb 2012
No
AA1657
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
16 Sep 2009 - 05 Oct 2009
No
AA1657
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
16 Sep 2009 - 05 Oct 2009
No
AA1657
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
18 Sep 2008 - 13 Apr 2009
No
AA1657
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
18 Sep 2008 - 13 Apr 2009
No
AA1657
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
27 Mar 2006 - 14 Jul 2008
No
AA1657
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
27 Mar 2006 - 14 Jul 2008
No
AA1657
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 25 Jul 2004
No
AA1657
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 25 Jul 2004
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.