Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WAI LIT
Chinese Name of Relevant Individual
郭偉烈
HKMA Registration Number
AA2822
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Mar 2016
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Remarks
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Mar 2016
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
SFC CE number
AGN963
Business Address
G/F (SHOP B), 11/F, 20/F, 22/F, 23/F & 36/F, EVERBRIGHT CENTRE, 108 GLOUCESTER ROAD, WANCHAI, 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
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Mar 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 14 Mar 2016
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
21 Jul 2003 - 17 Mar 2013
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
21 Jul 2003 - 17 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Jul 2003 - 17 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
21 Jul 2003 - 08 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Jul 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS KWONG ON BANK, LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Apr 2003 - 20 Jul 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, WAI LIT
:
Chinese Name of Relevant Individual
郭偉烈
:
HKMA Registration Number
AA2822
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
14 Mar 2016
No
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
14 Mar 2016
No
RELATIONSHIP MANAGEMENT, CORPORATE BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA EVERBRIGHT BANK CO., LTD.
AGN963
G/F (SHOP B), 11/F, 20/F, 22/F, 23/F & 36/F, EVERBRIGHT CENTRE, 108 GLOUCESTER ROAD, WANCHAI, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA2822
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
Since 14 Mar 2016
No
AA2822
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
Since 14 Mar 2016
No
AA2822
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Jul 2003 - 17 Mar 2013
No
AA2822
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Jul 2003 - 17 Mar 2013
No
AA2822
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
21 Jul 2003 - 17 Mar 2013
No
AA2822
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
21 Jul 2003 - 08 May 2005
No
AA2822
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
21 Jul 2003 - 21 Mar 2005
No
AA2822
DBS KWONG ON BANK, LIMITED
Type 1: dealing in securities
01 Apr 2003 - 20 Jul 2003
No
AA2822
DBS KWONG ON BANK, LIMITED
Type 4: advising on securities
01 Apr 2003 - 20 Jul 2003
No
AA2822
DBS KWONG ON BANK, LIMITED
Type 6: advising on corporate finance
01 Apr 2003 - 20 Jul 2003
No
AA2822
DBS KWONG ON BANK, LIMITED
Type 9: asset management
01 Apr 2003 - 20 Jul 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.