Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, WESLEY SIU-KAY
Chinese Name of Relevant Individual
莫肇祺
HKMA Registration Number
AG4392
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
BANC OF AMERICA SECURITIES ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jul 2017 - 26 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2014 - 26 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2014 - 26 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Aug 2014 - 26 Feb 2020
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, WESLEY SIU-KAY
:
Chinese Name of Relevant Individual
莫肇祺
:
HKMA Registration Number
AG4392
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4392
BANC OF AMERICA SECURITIES ASIA LIMITED
Type 1: dealing in securities
05 Jul 2017 - 26 Feb 2020
No
AG4392
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
09 Aug 2014 - 26 Feb 2020
No
AG4392
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
09 Aug 2014 - 26 Feb 2020
No
AG4392
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 6: advising on corporate finance
09 Aug 2014 - 26 Feb 2020
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.