Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, SIGISMUND SUNG CHI
Chinese Name of Relevant Individual
郭頌基
HKMA Registration Number
AF3099
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
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Mar 2014 - 31 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Mar 2014 - 31 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
28 Mar 2014 - 31 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
04 Jul 2012 - 08 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2011 - 08 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND N.V. (THE)
Regulated Activity
Type 6: advising on corporate finance
Effective Period
26 Sep 2011 - 08 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Sep 2011 - 08 Nov 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, SIGISMUND SUNG CHI
:
Chinese Name of Relevant Individual
郭頌基
:
HKMA Registration Number
AF3099
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3099
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
28 Mar 2014 - 31 Dec 2017
No
AF3099
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
28 Mar 2014 - 31 Dec 2017
No
AF3099
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
28 Mar 2014 - 31 Dec 2017
No
AF3099
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 6: advising on corporate finance
04 Jul 2012 - 08 Nov 2013
No
AF3099
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 1: dealing in securities
26 Sep 2011 - 08 Nov 2013
No
AF3099
ROYAL BANK OF SCOTLAND N.V. (THE)
Type 6: advising on corporate finance
26 Sep 2011 - 08 Nov 2013
No
AF3099
ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)
Type 1: dealing in securities
26 Sep 2011 - 08 Nov 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.