Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KUO, WING YAN
Chinese Name of Relevant Individual
郭詠欣
HKMA Registration Number
AF5533
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
SFC CE number
AAC155
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, 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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 28 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 May 2022 - 21 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 May 2022 - 21 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Apr 2020 - 03 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Apr 2020 - 03 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Dec 2018 - 14 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Dec 2018 - 14 Aug 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Jul 2018 - 21 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Jul 2018 - 21 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2016 - 07 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2016 - 07 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Oct 2015 - 12 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Oct 2015 - 12 Jun 2016
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
14 Oct 2014 - 30 Jun 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 23
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, WING YAN
:
Chinese Name of Relevant Individual
郭詠欣
:
HKMA Registration Number
AF5533
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
28 Sep 2022
No
CONSUMER BANKING
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
28 Sep 2022
No
CONSUMER BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
AAC155
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5533
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 28 Sep 2022
No
AF5533
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 28 Sep 2022
No
AF5533
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
11 May 2022 - 21 Aug 2022
No
AF5533
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
11 May 2022 - 21 Aug 2022
No
AF5533
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
09 Apr 2020 - 03 Apr 2022
No
AF5533
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
09 Apr 2020 - 03 Apr 2022
No
AF5533
DAH SING BANK, LIMITED
Type 1: dealing in securities
14 Dec 2018 - 14 Aug 2019
No
AF5533
DAH SING BANK, LIMITED
Type 4: advising on securities
14 Dec 2018 - 14 Aug 2019
No
AF5533
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Jul 2018 - 21 Nov 2018
No
AF5533
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Jul 2018 - 21 Nov 2018
No
AF5533
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
01 Sep 2016 - 07 Jun 2018
No
AF5533
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
01 Sep 2016 - 07 Jun 2018
No
AF5533
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Oct 2015 - 12 Jun 2016
No
AF5533
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Oct 2015 - 12 Jun 2016
No
AF5533
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 Oct 2014 - 30 Jun 2015
No
AF5533
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 Oct 2014 - 30 Jun 2015
No
AF5533
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 Oct 2014 - 30 Jun 2015
No
AF5533
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 May 2013 - 18 Jul 2014
No
AF5533
DAH SING BANK, LIMITED
Type 4: advising on securities
16 May 2013 - 18 Jul 2014
No
AF5533
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 Aug 2012 - 23 Oct 2012
No
AF5533
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Aug 2012 - 23 Oct 2012
No
AF5533
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Mar 2012 - 15 Jul 2012
No
AF5533
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
30 Mar 2012 - 15 Jul 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.