Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWEK, LI ERN JOY
Chinese Name of Relevant Individual
郭麗恩
HKMA Registration Number
AG7258
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
MORGAN STANLEY BANK ASIA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Mar 2019 - 30 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
10 Oct 2015 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Apr 2015 - 14 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
15 Apr 2015 - 14 Dec 2018
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
KWEK, LI ERN JOY
:
Chinese Name of Relevant Individual
郭麗恩
:
HKMA Registration Number
AG7258
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG7258
MORGAN STANLEY BANK ASIA LIMITED
Type 1: dealing in securities
11 Mar 2019 - 30 Apr 2025
No
AG7258
CREDIT SUISSE AG
Type 6: advising on corporate finance
10 Oct 2015 - 14 Dec 2018
No
AG7258
CREDIT SUISSE AG
Type 1: dealing in securities
15 Apr 2015 - 14 Dec 2018
No
AG7258
CREDIT SUISSE AG
Type 4: advising on securities
15 Apr 2015 - 14 Dec 2018
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.