Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, WAI FAN
Chinese Name of Relevant Individual
郭惠芬
HKMA Registration Number
AG3710
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2017 - 16 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
01 Aug 2017 - 16 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Oct 2014 - 13 Nov 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Oct 2014 - 13 Nov 2015
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
13 Jun 2014 - 29 Sep 2014
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
13 Jun 2014 - 29 Sep 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, WAI FAN
:
Chinese Name of Relevant Individual
郭惠芬
:
HKMA Registration Number
AG3710
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3710
CREDIT SUISSE AG
Type 1: dealing in securities
01 Aug 2017 - 16 Mar 2018
No
AG3710
CREDIT SUISSE AG
Type 4: advising on securities
01 Aug 2017 - 16 Mar 2018
No
AG3710
ABN AMRO BANK N.V.
Type 4: advising on securities
14 Oct 2014 - 13 Nov 2015
No
AG3710
ABN AMRO BANK N.V.
Type 1: dealing in securities
07 Oct 2014 - 13 Nov 2015
No
AG3710
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
13 Jun 2014 - 29 Sep 2014
No
AG3710
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
13 Jun 2014 - 29 Sep 2014
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.