Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, SIU HEI
Chinese Name of Relevant Individual
郭兆熙
HKMA Registration Number
AD0126
Other HKMA Registration Number(s)
AE5484
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
24 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR WEALTH STRATEGIST
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
24 Nov 2022
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR WEALTH STRATEGIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 24 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 24 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Oct 2011 - 31 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
20 Oct 2011 - 31 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
27 Feb 2010 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIC KA WAH BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Feb 2010 - 25 Feb 2010
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
15 Jul 2006 - 22 Nov 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, SIU HEI
:
Chinese Name of Relevant Individual
郭兆熙
:
HKMA Registration Number
AD0126
:
Other HKMA Registration Number(s)
AE5484
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
24 Nov 2022
No
SENIOR WEALTH STRATEGIST
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
24 Nov 2022
No
SENIOR WEALTH STRATEGIST
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0126
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 24 Nov 2022
No
AD0126
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 24 Nov 2022
No
AD0126
DAH SING BANK, LIMITED
Type 1: dealing in securities
20 Oct 2011 - 31 Jul 2022
No
AD0126
DAH SING BANK, LIMITED
Type 4: advising on securities
20 Oct 2011 - 31 Jul 2022
No
AD0126
CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
27 Feb 2010 - 07 Jun 2011
No
AE5484
CITIC KA WAH BANK LIMITED
Type 1: dealing in securities
10 Feb 2010 - 25 Feb 2010
No
AD0126
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Jul 2006 - 22 Nov 2009
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.