Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

MOK, NGA SZE LUCIA

Chinese Name of Relevant Individual

莫雅思

HKMA Registration Number

AC0280

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED

Regulated Activity

Type 1: dealing in securities

Effective Period

25 Nov 2009 - 25 Feb 2013

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

25 Nov 2009 - 25 Feb 2013

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BNP PARIBAS

Regulated Activity

Type 1: dealing in securities

Effective Period

16 Oct 2007 - 19 Aug 2009

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CALYON

Regulated Activity

Type 1: dealing in securities

Effective Period

15 Oct 2005 - 25 Jun 2007

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

FORTIS BANK

Regulated Activity

Type 1: dealing in securities

Effective Period

06 Jun 2005 - 19 Sep 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

FORTIS BANK

Regulated Activity

Type 4: advising on securities

Effective Period

06 Jun 2005 - 19 Sep 2005

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

03 May 2004 - 31 May 2005

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

03 May 2004 - 31 May 2005

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

STANDARD CHARTERED BANK

Regulated Activity

Type 1: dealing in securities

Effective Period

16 Jul 2003 - 18 Apr 2004

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

STANDARD CHARTERED BANK

Regulated Activity

Type 4: advising on securities

Effective Period

16 Jul 2003 - 18 Apr 2004

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

MOK, NGA SZE LUCIA

:

Chinese Name of Relevant Individual

莫雅思

:

HKMA Registration Number

AC0280

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AC0280

AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED

Type 1: dealing in securities

25 Nov 2009 - 25 Feb 2013

No

AC0280

AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED

Type 4: advising on securities

25 Nov 2009 - 25 Feb 2013

No

AC0280

BNP PARIBAS

Type 1: dealing in securities

16 Oct 2007 - 19 Aug 2009

No

AC0280

CALYON

Type 1: dealing in securities

15 Oct 2005 - 25 Jun 2007

No

AC0280

FORTIS BANK

Type 1: dealing in securities

06 Jun 2005 - 19 Sep 2005

No

AC0280

FORTIS BANK

Type 4: advising on securities

06 Jun 2005 - 19 Sep 2005

No

AC0280

HSBC PRIVATE BANK (SUISSE) SA

Type 1: dealing in securities

03 May 2004 - 31 May 2005

No

AC0280

HSBC PRIVATE BANK (SUISSE) SA

Type 4: advising on securities

03 May 2004 - 31 May 2005

No

AC0280

STANDARD CHARTERED BANK

Type 1: dealing in securities

16 Jul 2003 - 18 Apr 2004

No

AC0280

STANDARD CHARTERED BANK

Type 4: advising on securities

16 Jul 2003 - 18 Apr 2004

No