Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, PIK WA
Chinese Name of Relevant Individual
黃碧華
HKMA Registration Number
AA1988
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
First date of engagement
19 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER ASSISTANT
Remarks
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Jun 2021
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER ASSISTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
SFC CE number
AGM683
Business Address
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
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
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 19 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
Since 19 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Oct 2020 - 25 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Oct 2020 - 25 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Apr 2020 - 31 Aug 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
02 Apr 2020 - 31 Aug 2020
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
11 Sep 2017 - 27 Mar 2020
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
11 Sep 2017 - 27 Mar 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2015 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2015 - 08 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Mar 2008 - 01 Jul 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Mar 2008 - 01 Jul 2014
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
01 Apr 2003 - 03 Oct 2006
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
01 Apr 2003 - 03 Oct 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 03 Oct 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
WONG, PIK WA
:
Chinese Name of Relevant Individual
黃碧華
:
HKMA Registration Number
AA1988
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
19 Jun 2021
No
RELATIONSHIP MANAGER ASSISTANT
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
19 Jun 2021
No
RELATIONSHIP MANAGER ASSISTANT
Name of Registered Institution
SFC CE number
Business Address
CA INDOSUEZ (SWITZERLAND) SA
AGM683
SUITE 2918, 29/F, TWO PACIFIC PLACE, 88 QUEENSWAY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1988
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
Since 19 Jun 2021
No
AA1988
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
Since 19 Jun 2021
No
AA1988
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
13 Oct 2020 - 25 Mar 2021
No
AA1988
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
13 Oct 2020 - 25 Mar 2021
No
AA1988
ROYAL BANK OF CANADA
Type 1: dealing in securities
02 Apr 2020 - 31 Aug 2020
No
AA1988
ROYAL BANK OF CANADA
Type 4: advising on securities
02 Apr 2020 - 31 Aug 2020
No
AA1988
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Sep 2017 - 27 Mar 2020
No
AA1988
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Sep 2017 - 27 Mar 2020
No
AA1988
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
14 Jul 2015 - 08 Sep 2017
No
AA1988
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
14 Jul 2015 - 08 Sep 2017
No
AA1988
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
04 Mar 2008 - 01 Jul 2014
No
AA1988
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
04 Mar 2008 - 01 Jul 2014
No
AA1988
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
01 Apr 2003 - 03 Oct 2006
No
AA1988
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
01 Apr 2003 - 03 Oct 2006
No
AA1988
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
01 Apr 2003 - 03 Oct 2006
No
AA1988
BANK OF EAST ASIA, LIMITED (THE)
Type 7: providing automated trading services
01 Apr 2003 - 10 Jan 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.