Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WING YAN
Chinese Name of Relevant Individual
郭穎欣
HKMA Registration Number
AC8982
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
08 Sep 2010 - 25 Feb 2018
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
08 Sep 2010 - 25 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2007 - 06 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2007 - 06 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Apr 2006 - 07 Mar 2007
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
郭穎欣
:
HKMA Registration Number
AC8982
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC8982
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Sep 2010 - 25 Feb 2018
No
AC8982
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Sep 2010 - 25 Feb 2018
No
AC8982
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
09 Nov 2007 - 06 Jan 2009
No
AC8982
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
09 Nov 2007 - 06 Jan 2009
No
AC8982
ABN AMRO BANK N.V.
Type 1: dealing in securities
06 Apr 2006 - 07 Mar 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.