Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, CHEONG PING CHARLES
Chinese Name of Relevant Individual
郭昌平
HKMA Registration Number
AF1060
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
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Jun 2019 - 05 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Jun 2019 - 05 Mar 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2015 - 24 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Nov 2015 - 24 Jun 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
05 May 2011 - 30 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
05 May 2011 - 30 Oct 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 9: asset management
Effective Period
05 May 2011 - 01 Jan 2013
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, CHEONG PING CHARLES
:
Chinese Name of Relevant Individual
郭昌平
:
HKMA Registration Number
AF1060
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1060
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
22 Jun 2019 - 05 Mar 2021
No
AF1060
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
22 Jun 2019 - 05 Mar 2021
No
AF1060
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
28 Nov 2015 - 24 Jun 2016
No
AF1060
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
28 Nov 2015 - 24 Jun 2016
No
AF1060
UBS AG
Type 1: dealing in securities
05 May 2011 - 30 Oct 2015
No
AF1060
UBS AG
Type 4: advising on securities
05 May 2011 - 30 Oct 2015
No
AF1060
UBS AG
Type 9: asset management
05 May 2011 - 01 Jan 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.