Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, CHI LING JOLINE
Chinese Name of Relevant Individual
郭芝羚
HKMA Registration Number
AC7859
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jul 2010
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR CUSTOMER RELATIONS MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Jul 2010
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR CUSTOMER RELATIONS MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jul 2010
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
Since 04 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
13 Mar 2009 - 28 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2008 - 28 Oct 2009
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
01 Jul 2008 - 28 Oct 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 May 2008 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 9: asset management
Effective Period
14 May 2008 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Dec 2005 - 31 Dec 2007
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, CHI LING JOLINE
:
Chinese Name of Relevant Individual
郭芝羚
:
HKMA Registration Number
AC7859
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
04 Jul 2010
No
SENIOR CUSTOMER RELATIONS MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
04 Jul 2010
No
SENIOR CUSTOMER RELATIONS MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC7859
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 04 Jul 2010
No
AC7859
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 04 Jul 2010
No
AC7859
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Mar 2009 - 28 Oct 2009
No
AC7859
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2008 - 28 Oct 2009
No
AC7859
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
01 Jul 2008 - 28 Oct 2009
No
AC7859
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
14 May 2008 - 12 Oct 2008
No
AC7859
AMERICAN EXPRESS BANK LIMITED
Type 9: asset management
14 May 2008 - 12 Oct 2008
No
AC7859
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
20 Dec 2005 - 31 Dec 2007
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.