Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, SIU KEI
Chinese Name of Relevant Individual
郭兆基
HKMA Registration Number
AF0327
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Aug 2023
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DAH SING BANK, LIMITED
SFC CE number
AAK565
Business Address
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, 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
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Aug 2023
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
Since 05 Aug 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Apr 2020 - 23 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Apr 2020 - 23 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
07 Apr 2020 - 23 Jul 2023
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
17 Nov 2018 - 19 Feb 2020
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
17 Nov 2018 - 19 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
30 Jun 2015 - 28 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Feb 2014 - 28 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Feb 2014 - 28 Oct 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
17 Mar 2013 - 21 Dec 2013
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
17 Mar 2013 - 21 Dec 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Sep 2012 - 03 Feb 2013
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
07 Sep 2012 - 03 Feb 2013
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
30 Aug 2011 - 19 Aug 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 18
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 KEI
:
Chinese Name of Relevant Individual
郭兆基
:
HKMA Registration Number
AF0327
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DAH SING BANK, LIMITED
Type 1: dealing in securities
05 Aug 2023
No
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
DAH SING BANK, LIMITED
Type 4: advising on securities
05 Aug 2023
No
WEALTH MANAGEMENT SERVICES, WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
DAH SING BANK, LIMITED
AAK565
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0327
DAH SING BANK, LIMITED
Type 1: dealing in securities
Since 05 Aug 2023
No
AF0327
DAH SING BANK, LIMITED
Type 4: advising on securities
Since 05 Aug 2023
No
AF0327
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Apr 2020 - 23 Jul 2023
No
AF0327
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Apr 2020 - 23 Jul 2023
No
AF0327
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
07 Apr 2020 - 23 Jul 2023
No
AF0327
DAH SING BANK, LIMITED
Type 1: dealing in securities
17 Nov 2018 - 19 Feb 2020
No
AF0327
DAH SING BANK, LIMITED
Type 4: advising on securities
17 Nov 2018 - 19 Feb 2020
No
AF0327
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Jun 2015 - 28 Oct 2018
No
AF0327
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Feb 2014 - 28 Oct 2018
No
AF0327
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Feb 2014 - 28 Oct 2018
No
AF0327
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
17 Mar 2013 - 21 Dec 2013
No
AF0327
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
17 Mar 2013 - 21 Dec 2013
No
AF0327
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Sep 2012 - 03 Feb 2013
No
AF0327
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Sep 2012 - 03 Feb 2013
No
AF0327
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
30 Aug 2011 - 19 Aug 2012
No
AF0327
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
30 Aug 2011 - 19 Aug 2012
No
AF0327
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Mar 2011 - 12 Aug 2011
No
AF0327
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Mar 2011 - 12 Aug 2011
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.