Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WING KIN
Chinese Name of Relevant Individual
郭榮堅
HKMA Registration Number
AC5163
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Jun 2007 - 27 Aug 2007
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 Jun 2007 - 27 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2006 - 24 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2006 - 24 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Mar 2005 - 20 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
25 Mar 2005 - 20 Jul 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, WING KIN
:
Chinese Name of Relevant Individual
郭榮堅
:
HKMA Registration Number
AC5163
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5163
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Jun 2007 - 27 Aug 2007
No
AC5163
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
11 Jun 2007 - 27 Aug 2007
No
AC5163
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
18 Aug 2006 - 24 Apr 2007
No
AC5163
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
18 Aug 2006 - 24 Apr 2007
No
AC5163
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
25 Mar 2005 - 20 Jul 2006
No
AC5163
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
25 Mar 2005 - 20 Jul 2006
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.