Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, SHEUNG YIN
Chinese Name of Relevant Individual
郭尚賢
HKMA Registration Number
AG5585
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
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Mar 2016 - 29 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
31 Mar 2016 - 29 Sep 2016
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
20 Nov 2014 - 27 Jan 2016
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
20 Nov 2014 - 27 Jan 2016
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, SHEUNG YIN
:
Chinese Name of Relevant Individual
郭尚賢
:
HKMA Registration Number
AG5585
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG5585
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
31 Mar 2016 - 29 Sep 2016
No
AG5585
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
31 Mar 2016 - 29 Sep 2016
No
AG5585
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Nov 2014 - 27 Jan 2016
No
AG5585
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Nov 2014 - 27 Jan 2016
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.