Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, YIN YI
Chinese Name of Relevant Individual
郭燕怡
HKMA Registration Number
AC6526
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jul 2024 - 24 Apr 2026
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
03 Jul 2024 - 24 Apr 2026
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
18 Aug 2023 - 26 Jun 2024
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
18 Aug 2023 - 26 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Feb 2019 - 04 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Feb 2019 - 04 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2013 - 22 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2013 - 22 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2009 - 07 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2009 - 07 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PUBLIC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Mar 2009 - 14 May 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Jun 2008 - 20 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2008 - 20 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2008 - 20 Nov 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jan 2008 - 20 Nov 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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, YIN YI
:
Chinese Name of Relevant Individual
郭燕怡
:
HKMA Registration Number
AC6526
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6526
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
03 Jul 2024 - 24 Apr 2026
No
AC6526
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 Jul 2024 - 24 Apr 2026
No
AC6526
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
18 Aug 2023 - 26 Jun 2024
No
AC6526
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
18 Aug 2023 - 26 Jun 2024
No
AC6526
CREDIT SUISSE AG
Type 1: dealing in securities
22 Feb 2019 - 04 Aug 2023
No
AC6526
CREDIT SUISSE AG
Type 4: advising on securities
22 Feb 2019 - 04 Aug 2023
No
AC6526
CREDIT SUISSE AG
Type 1: dealing in securities
05 Sep 2013 - 22 Oct 2015
No
AC6526
CREDIT SUISSE AG
Type 4: advising on securities
05 Sep 2013 - 22 Oct 2015
No
AC6526
BARCLAYS BANK PLC
Type 1: dealing in securities
23 May 2009 - 07 Aug 2013
No
AC6526
BARCLAYS BANK PLC
Type 4: advising on securities
23 May 2009 - 07 Aug 2013
No
AC6526
PUBLIC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
29 Mar 2009 - 14 May 2009
No
AC6526
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008 - 20 Nov 2008
No
AC6526
CITIBANK, N.A.
Type 4: advising on securities
05 Jun 2008 - 20 Nov 2008
No
AC6526
CITIBANK, N.A.
Type 1: dealing in securities
06 Jan 2008 - 20 Nov 2008
No
AC6526
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
06 Jan 2008 - 20 Nov 2008
No
AC6526
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Apr 2007 - 01 Jan 2008
No
AC6526
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Apr 2007 - 01 Jan 2008
No
AC6526
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Aug 2005 - 26 Dec 2006
No
AC6526
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Aug 2005 - 26 Dec 2006
No
AC6526
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Aug 2005 - 26 Dec 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.