Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, TIN WAI
Chinese Name of Relevant Individual
郭天緯
HKMA Registration Number
AG3838
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, BRANCH MANAGER
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, BRANCH MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 16 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Dec 2016 - 31 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Dec 2016 - 31 Oct 2021
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
17 Sep 2015 - 30 Nov 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
17 Sep 2015 - 30 Nov 2016
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
06 Aug 2014 - 03 Aug 2015
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
24 Jun 2014 - 03 Aug 2015
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
24 Jun 2014 - 03 Aug 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, TIN WAI
:
Chinese Name of Relevant Individual
郭天緯
:
HKMA Registration Number
AG3838
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
16 Nov 2021
No
VICE PRESIDENT, BRANCH MANAGER
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
16 Nov 2021
No
VICE PRESIDENT, BRANCH MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3838
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 16 Nov 2021
No
AG3838
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 16 Nov 2021
No
AG3838
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Dec 2016 - 31 Oct 2021
No
AG3838
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Dec 2016 - 31 Oct 2021
No
AG3838
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
17 Sep 2015 - 30 Nov 2016
No
AG3838
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
17 Sep 2015 - 30 Nov 2016
No
AG3838
HANG SENG BANK, LIMITED
Type 4: advising on securities
06 Aug 2014 - 03 Aug 2015
No
AG3838
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Jun 2014 - 03 Aug 2015
No
AG3838
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Jun 2014 - 03 Aug 2015
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.