Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WING YAN
Chinese Name of Relevant Individual
郭穎恩
HKMA Registration Number
AC5204
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
MALAYAN BANKING BERHAD
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 Aug 2017
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE WEALTH
Remarks
Registered Institution
MALAYAN BANKING BERHAD
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Aug 2017
Is an Executive Officer? (Yes / No)
No
Capacity
PRIVATE WEALTH
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
MALAYAN BANKING BERHAD
SFC CE number
AAP095
Business Address
29/F, LEE GARDEN THREE, 1 SUNNING ROAD, CAUSEWAY BAY, 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
MALAYAN BANKING BERHAD
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MALAYAN BANKING BERHAD
Regulated Activity
Type 4: advising on securities
Effective Period
Since 30 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2016 - 18 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2014 - 30 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Jul 2014 - 30 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jan 2011 - 22 May 2014
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
02 Apr 2005 - 10 Jan 2008
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
02 Apr 2005 - 10 Jan 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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 YAN
:
Chinese Name of Relevant Individual
郭穎恩
:
HKMA Registration Number
AC5204
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
MALAYAN BANKING BERHAD
Type 1: dealing in securities
30 Aug 2017
No
PRIVATE WEALTH
MALAYAN BANKING BERHAD
Type 4: advising on securities
30 Aug 2017
No
PRIVATE WEALTH
Name of Registered Institution
SFC CE number
Business Address
MALAYAN BANKING BERHAD
AAP095
29/F, LEE GARDEN THREE, 1 SUNNING ROAD, CAUSEWAY BAY, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5204
MALAYAN BANKING BERHAD
Type 1: dealing in securities
Since 30 Aug 2017
No
AC5204
MALAYAN BANKING BERHAD
Type 4: advising on securities
Since 30 Aug 2017
No
AC5204
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
20 Jul 2016 - 18 Aug 2017
No
AC5204
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 1: dealing in securities
18 Jul 2014 - 30 Jun 2016
No
AC5204
OVERSEA-CHINESE BANKING CORPORATION LIMITED
Type 4: advising on securities
18 Jul 2014 - 30 Jun 2016
No
AC5204
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
12 Jan 2011 - 22 May 2014
No
AC5204
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Apr 2005 - 10 Jan 2008
No
AC5204
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Apr 2005 - 10 Jan 2008
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.