Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, KA HO
Chinese Name of Relevant Individual
莫家豪
HKMA Registration Number
AF5568
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Mar 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVEST. PORT. CONSULTANT
Remarks
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Mar 2018
Is an Executive Officer? (Yes / No)
No
Capacity
SR INVEST. PORT. CONSULTANT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
SFC CE number
AAL698
Business Address
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, 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
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 02 Mar 2018
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
Since 02 Mar 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
02 Jun 2017 - 11 Feb 2018
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
02 Jun 2017 - 11 Feb 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
02 Jun 2017 - 11 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Apr 2012 - 23 Apr 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
03 Apr 2012 - 23 Apr 2017
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
MOK, KA HO
:
Chinese Name of Relevant Individual
莫家豪
:
HKMA Registration Number
AF5568
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
02 Mar 2018
No
SR INVEST. PORT. CONSULTANT
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
02 Mar 2018
No
SR INVEST. PORT. CONSULTANT
Name of Registered Institution
SFC CE number
Business Address
BANK OF CHINA (HONG KONG) LIMITED
AAL698
14TH FLOOR, BANK OF CHINA TOWER, NO.1 GARDEN ROAD, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF5568
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
Since 02 Mar 2018
No
AF5568
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
Since 02 Mar 2018
No
AF5568
HANG SENG BANK, LIMITED
Type 1: dealing in securities
02 Jun 2017 - 11 Feb 2018
No
AF5568
HANG SENG BANK, LIMITED
Type 4: advising on securities
02 Jun 2017 - 11 Feb 2018
No
AF5568
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
02 Jun 2017 - 11 Feb 2018
No
AF5568
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
03 Apr 2012 - 23 Apr 2017
No
AF5568
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
03 Apr 2012 - 23 Apr 2017
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.