Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MA, WAI KWOK ALVIN
Chinese Name of Relevant Individual
馬偉國
HKMA Registration Number
AC0663
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
EAST WEST BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Nov 2018 - 02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 4: advising on securities
Effective Period
27 Nov 2018 - 02 Jul 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EAST WEST BANK
Regulated Activity
Type 4: advising on securities
Effective Period
22 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
04 Aug 2017 - 03 Nov 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jun 2014 - 03 Nov 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
Effective Period
13 Jun 2014 - 03 Nov 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2014 - 12 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 9: asset management
Effective Period
12 Mar 2014 - 12 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2012 - 21 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jun 2011 - 21 Feb 2014
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 May 2010 - 08 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 May 2009 - 12 Apr 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jan 2008 - 19 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jan 2008 - 19 Feb 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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
MA, WAI KWOK ALVIN
:
Chinese Name of Relevant Individual
馬偉國
:
HKMA Registration Number
AC0663
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0663
EAST WEST BANK
Type 1: dealing in securities
27 Nov 2018 - 02 Jul 2019
No
AC0663
EAST WEST BANK
Type 4: advising on securities
27 Nov 2018 - 02 Jul 2019
No
AC0663
EAST WEST BANK
Type 1: dealing in securities
22 Nov 2018
No
AC0663
EAST WEST BANK
Type 4: advising on securities
22 Nov 2018
No
AC0663
EFG BANK AG
Type 4: advising on securities
04 Aug 2017 - 03 Nov 2017
Yes
AC0663
EFG BANK AG
Type 1: dealing in securities
13 Jun 2014 - 03 Nov 2017
Yes
AC0663
EFG BANK AG
Type 9: asset management
13 Jun 2014 - 03 Nov 2017
Yes
AC0663
EFG BANK AG
Type 1: dealing in securities
12 Mar 2014 - 12 Jun 2014
No
AC0663
EFG BANK AG
Type 9: asset management
12 Mar 2014 - 12 Jun 2014
No
AC0663
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
21 Dec 2012 - 21 Feb 2014
Yes
AC0663
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
09 Jun 2011 - 21 Feb 2014
Yes
AC0663
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
29 May 2010 - 08 Jun 2011
No
AC0663
EFG BANK AG
Type 1: dealing in securities
13 May 2009 - 12 Apr 2010
No
AC0663
CREDIT SUISSE
Type 1: dealing in securities
23 Jan 2008 - 19 Feb 2009
No
AC0663
CREDIT SUISSE
Type 4: advising on securities
23 Jan 2008 - 19 Feb 2009
No
AC0663
UBS AG
Type 1: dealing in securities
27 Oct 2004 - 16 Nov 2007
No
AC0663
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2004 - 07 Oct 2004
No
AC0663
STANDARD CHARTERED BANK
Type 1: dealing in securities
03 Oct 2003 - 30 Jun 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.