Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KUO, WAI LOK
Chinese Name of Relevant Individual
郭偉樂
HKMA Registration Number
AF3749
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
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Nov 2018 - 09 Aug 2023
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
08 Nov 2018 - 09 Aug 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
18 Jun 2015 - 02 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
10 Nov 2011 - 02 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
10 Nov 2011 - 02 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
KUO, WAI LOK
:
Chinese Name of Relevant Individual
郭偉樂
:
HKMA Registration Number
AF3749
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3749
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
08 Nov 2018 - 09 Aug 2023
No
AF3749
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
08 Nov 2018 - 09 Aug 2023
No
AF3749
HANG SENG BANK, LIMITED
Type 4: advising on securities
18 Jun 2015 - 02 Oct 2018
No
AF3749
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Nov 2011 - 02 Oct 2018
No
AF3749
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Nov 2011 - 02 Oct 2018
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.