Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, TIEN FAT SIMON
Chinese Name of Relevant Individual
郭天發
HKMA Registration Number
AG4472
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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2018 - 29 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
17 Oct 2018 - 29 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2014 - 26 May 2017
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
15 Aug 2014 - 26 May 2017
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
KWOK, TIEN FAT SIMON
:
Chinese Name of Relevant Individual
郭天發
:
HKMA Registration Number
AG4472
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4472
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
17 Oct 2018 - 29 Jul 2023
No
AG4472
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
17 Oct 2018 - 29 Jul 2023
No
AG4472
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Aug 2014 - 26 May 2017
No
AG4472
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Aug 2014 - 26 May 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.