Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, LAI MEI ZOE
Chinese Name of Relevant Individual
郭麗媚
HKMA Registration Number
AA1659
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
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2007 - 31 Dec 2015
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
12 Oct 2004 - 09 Jun 2007
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
12 May 2004 - 09 Jun 2007
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
12 May 2004 - 09 Jun 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jun 2003 - 25 Apr 2004
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 - 09 Jun 2003
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 - 09 Jun 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, LAI MEI ZOE
:
Chinese Name of Relevant Individual
郭麗媚
:
HKMA Registration Number
AA1659
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1659
UBS AG
Type 1: dealing in securities
28 Jul 2007 - 31 Dec 2015
No
AA1659
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Oct 2004 - 09 Jun 2007
No
AA1659
HANG SENG BANK, LIMITED
Type 1: dealing in securities
12 May 2004 - 09 Jun 2007
No
AA1659
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
12 May 2004 - 09 Jun 2007
No
AA1659
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
24 Jun 2003 - 25 Apr 2004
No
AA1659
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 09 Jun 2003
No
AA1659
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 09 Jun 2003
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.