Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, KA KI
Chinese Name of Relevant Individual
郭家棋
HKMA Registration Number
AG6856
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Feb 2023
Is an Executive Officer? (Yes / No)
No
Capacity
CONSUMER BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
SFC CE number
AAC155
Business Address
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, 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
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2016 - 27 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2016 - 27 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2015 - 12 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
14 Mar 2015 - 12 Jun 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, KA KI
:
Chinese Name of Relevant Individual
郭家棋
:
HKMA Registration Number
AG6856
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
04 Feb 2023
No
CONSUMER BANKING
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
04 Feb 2023
No
CONSUMER BANKING
Name of Registered Institution
SFC CE number
Business Address
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
AAC155
28/F, CCB TOWER, NO. 3 CONNAUGHT ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6856
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
Since 04 Feb 2023
No
AG6856
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
Since 04 Feb 2023
No
AG6856
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Aug 2016 - 27 Dec 2022
No
AG6856
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Aug 2016 - 27 Dec 2022
No
AG6856
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
14 Mar 2015 - 12 Jun 2016
No
AG6856
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
14 Mar 2015 - 12 Jun 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.