Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, KA LOK
Chinese Name of Relevant Individual
郭家樂
HKMA Registration Number
AC7191
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
11 May 2016 - 19 May 2016
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
11 May 2016 - 19 May 2016
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
01 Nov 2013 - 28 Apr 2016
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
01 Nov 2013 - 28 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
26 Mar 2014 - 01 Mar 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2011 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jul 2011 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
17 Sep 2010 - 22 Jun 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2010 - 22 Jun 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2010 - 22 Jun 2011
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Apr 2010 - 12 Jul 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Apr 2010 - 12 Jul 2010
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 Jan 2008 - 29 Mar 2010
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jan 2008 - 29 Mar 2010
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2007 - 21 Jan 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 22
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, KA LOK
:
Chinese Name of Relevant Individual
郭家樂
:
HKMA Registration Number
AC7191
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7191
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
11 May 2016 - 19 May 2016
No
AC7191
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
11 May 2016 - 19 May 2016
No
AC7191
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 28 Apr 2016
No
AC7191
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 28 Apr 2016
No
AC7191
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
26 Mar 2014 - 01 Mar 2016
Yes
AC7191
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
05 Jul 2011 - 01 Nov 2013
No
AC7191
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
05 Jul 2011 - 01 Nov 2013
No
AC7191
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
17 Sep 2010 - 22 Jun 2011
Yes
AC7191
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jul 2010 - 22 Jun 2011
Yes
AC7191
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Jul 2010 - 22 Jun 2011
Yes
AC7191
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Apr 2010 - 12 Jul 2010
No
AC7191
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Apr 2010 - 12 Jul 2010
No
AC7191
CREDIT SUISSE AG
Type 1: dealing in securities
22 Jan 2008 - 29 Mar 2010
Yes
AC7191
CREDIT SUISSE AG
Type 4: advising on securities
22 Jan 2008 - 29 Mar 2010
Yes
AC7191
CREDIT SUISSE
Type 1: dealing in securities
13 Apr 2007 - 21 Jan 2008
No
AC7191
CREDIT SUISSE
Type 4: advising on securities
13 Apr 2007 - 21 Jan 2008
No
AC7191
FORTIS BANK
Type 1: dealing in securities
09 May 2006 - 13 Nov 2006
Yes
AC7191
FORTIS BANK
Type 4: advising on securities
09 May 2006 - 13 Nov 2006
Yes
AC7191
FORTIS BANK
Type 9: asset management
09 May 2006 - 13 Nov 2006
Yes
AC7191
FORTIS BANK
Type 9: asset management
25 Nov 2005 - 08 May 2006
No
AC7191
FORTIS BANK
Type 1: dealing in securities
13 Oct 2005 - 08 May 2006
No
AC7191
FORTIS BANK
Type 4: advising on securities
13 Oct 2005 - 08 May 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.