Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, CONNY
Chinese Name of Relevant Individual
郭康妮
HKMA Registration Number
AC0643
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2021 - 22 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jul 2018 - 22 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jul 2018 - 22 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2017 - 30 Apr 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2017 - 30 Apr 2018
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
15 May 2012 - 24 Aug 2016
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
15 May 2012 - 24 Aug 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 May 2006 - 12 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 May 2006 - 28 Apr 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Aug 2004 - 31 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2004 - 31 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Aug 2004 - 31 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 9: asset management
Effective Period
11 Aug 2004 - 21 Mar 2005
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
29 Sep 2003 - 09 Aug 2004
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
29 Sep 2003 - 09 Aug 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 17
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, CONNY
:
Chinese Name of Relevant Individual
郭康妮
:
HKMA Registration Number
AC0643
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0643
BNP PARIBAS
Type 1: dealing in securities
08 Nov 2021 - 22 Oct 2025
No
AC0643
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
17 Jul 2018 - 22 Aug 2021
No
AC0643
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
17 Jul 2018 - 22 Aug 2021
No
AC0643
NATIXIS
Type 1: dealing in securities
05 Jan 2017 - 30 Apr 2018
No
AC0643
NATIXIS
Type 4: advising on securities
05 Jan 2017 - 30 Apr 2018
No
AC0643
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
15 May 2012 - 24 Aug 2016
No
AC0643
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
15 May 2012 - 24 Aug 2016
No
AC0643
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
01 May 2006 - 12 Apr 2012
No
AC0643
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 7: providing automated trading services
01 May 2006 - 28 Apr 2008
No
AC0643
DBS BANK LTD.
Type 1: dealing in securities
11 Aug 2004 - 31 Mar 2006
No
AC0643
DBS BANK LTD.
Type 4: advising on securities
11 Aug 2004 - 31 Mar 2006
No
AC0643
DBS BANK LTD.
Type 6: advising on corporate finance
11 Aug 2004 - 31 Mar 2006
No
AC0643
DBS BANK LTD.
Type 9: asset management
11 Aug 2004 - 21 Mar 2005
No
AC0643
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Sep 2003 - 09 Aug 2004
No
AC0643
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
29 Sep 2003 - 09 Aug 2004
No
AC0643
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
29 Sep 2003 - 09 Aug 2004
No
AC0643
DBS BANK (HONG KONG) LIMITED
Type 9: asset management
29 Sep 2003 - 09 Aug 2004
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.