Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, SHU WAI
Chinese Name of Relevant Individual
郭樹威
HKMA Registration Number
AA1658
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
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2019 - 31 Dec 2021
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 Sep 2019 - 31 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2009 - 31 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Aug 2009 - 31 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2009 - 30 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2009 - 30 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 10 Dec 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 10 Dec 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
20 Apr 2005 - 06 Jul 2005
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
20 Apr 2005 - 06 Jul 2005
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 - 14 Apr 2005
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 - 14 Apr 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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, SHU WAI
:
Chinese Name of Relevant Individual
郭樹威
:
HKMA Registration Number
AA1658
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1658
CITIBANK, N.A.
Type 1: dealing in securities
01 Sep 2019 - 31 Dec 2021
No
AA1658
CITIBANK, N.A.
Type 4: advising on securities
01 Sep 2019 - 31 Dec 2021
No
AA1658
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Aug 2009 - 31 Dec 2021
No
AA1658
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Aug 2009 - 31 Dec 2021
No
AA1658
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Jun 2009 - 30 Jul 2009
No
AA1658
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Jun 2009 - 30 Jul 2009
No
AA1658
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 10 Dec 2008
No
AA1658
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 10 Dec 2008
No
AA1658
CITIBANK, N.A.
Type 1: dealing in securities
20 Apr 2005 - 06 Jul 2005
No
AA1658
CITIBANK, N.A.
Type 4: advising on securities
20 Apr 2005 - 06 Jul 2005
No
AA1658
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 14 Apr 2005
No
AA1658
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 14 Apr 2005
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.