Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, KA WAI
Chinese Name of Relevant Individual
莫嘉慧
HKMA Registration Number
AF0182
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Jan 2023
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UNITED OVERSEAS BANK LIMITED
SFC CE number
AAK840
Business Address
28/F, CHAMPION TOWER, 3 GARDEN 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
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Jan 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2019 - 20 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
24 Jan 2019 - 20 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2013 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Feb 2011 - 27 Oct 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Feb 2011 - 27 Oct 2013
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
MOK, KA WAI
:
Chinese Name of Relevant Individual
莫嘉慧
:
HKMA Registration Number
AF0182
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
05 Jan 2023
No
ASSISTANT VICE PRESIDENT
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
05 Jan 2023
No
ASSISTANT VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
UNITED OVERSEAS BANK LIMITED
AAK840
28/F, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0182
UNITED OVERSEAS BANK LIMITED
Type 1: dealing in securities
Since 05 Jan 2023
No
AF0182
UNITED OVERSEAS BANK LIMITED
Type 4: advising on securities
Since 05 Jan 2023
No
AF0182
BANK OF CHINA INTERNATIONAL LIMITED
Type 1: dealing in securities
24 Jan 2019 - 20 Nov 2022
No
AF0182
BANK OF CHINA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
24 Jan 2019 - 20 Nov 2022
No
AF0182
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
01 Nov 2013 - 14 Dec 2018
No
AF0182
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
01 Nov 2013 - 14 Dec 2018
No
AF0182
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
28 Feb 2011 - 27 Oct 2013
No
AF0182
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
28 Feb 2011 - 27 Oct 2013
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.