Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, WAI SHAN
Chinese Name of Relevant Individual
莫慧珊
HKMA Registration Number
AG6249
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Sep 2019 - 18 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2015 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2015 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jan 2015 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jan 2015 - 20 Sep 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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, WAI SHAN
:
Chinese Name of Relevant Individual
莫慧珊
:
HKMA Registration Number
AG6249
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6249
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
23 Sep 2019 - 18 Jun 2025
No
AG6249
CITIBANK, N.A.
Type 1: dealing in securities
24 Jan 2015 - 20 Sep 2019
No
AG6249
CITIBANK, N.A.
Type 4: advising on securities
24 Jan 2015 - 20 Sep 2019
No
AG6249
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
24 Jan 2015 - 20 Sep 2019
No
AG6249
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
24 Jan 2015 - 20 Sep 2019
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.