Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, KA YIN, RAYMOND
Chinese Name of Relevant Individual
莫家彥
HKMA Registration Number
AF4962
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
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2012 - 30 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2012 - 30 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2012 - 30 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
14 Feb 2012 - 30 Apr 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
MOK, KA YIN, RAYMOND
:
Chinese Name of Relevant Individual
莫家彥
:
HKMA Registration Number
AF4962
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4962
BNP PARIBAS
Type 1: dealing in securities
14 Feb 2012 - 30 Apr 2012
No
AF4962
BNP PARIBAS
Type 4: advising on securities
14 Feb 2012 - 30 Apr 2012
No
AF4962
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
14 Feb 2012 - 30 Apr 2012
No
AF4962
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
14 Feb 2012 - 30 Apr 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.