Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WING CHUNG RONALD
Chinese Name of Relevant Individual
郭永聰
HKMA Registration Number
AF0331
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jul 2020
Is an Executive Officer? (Yes / No)
No
Capacity
WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BNP PARIBAS
SFC CE number
AAF564
Business Address
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, 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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Jul 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Sep 2016 - 04 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 Sep 2016 - 04 May 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
28 May 2012 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
28 May 2012 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
28 May 2012 - 11 Apr 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 May 2012 - 15 Feb 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2011 - 16 Feb 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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 CHUNG RONALD
:
Chinese Name of Relevant Individual
郭永聰
:
HKMA Registration Number
AF0331
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BNP PARIBAS
Type 1: dealing in securities
06 Jul 2020
No
WEALTH MANAGEMENT
BNP PARIBAS
Type 4: advising on securities
06 Jul 2020
No
WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BNP PARIBAS
AAF564
60/F AND 63/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0331
BNP PARIBAS
Type 1: dealing in securities
Since 06 Jul 2020
No
AF0331
BNP PARIBAS
Type 4: advising on securities
Since 06 Jul 2020
No
AF0331
CREDIT SUISSE AG
Type 1: dealing in securities
05 Sep 2016 - 04 May 2020
No
AF0331
CREDIT SUISSE AG
Type 4: advising on securities
05 Sep 2016 - 04 May 2020
No
AF0331
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 May 2012 - 11 Apr 2016
No
AF0331
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
28 May 2012 - 11 Apr 2016
No
AF0331
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
28 May 2012 - 11 Apr 2016
No
AF0331
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
28 May 2012 - 15 Feb 2016
No
AF0331
UBS AG
Type 1: dealing in securities
11 Mar 2011 - 16 Feb 2012
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.