Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOK, HO YUEN
Chinese Name of Relevant Individual
莫浩源
HKMA Registration Number
AG9434
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 09 Oct 2025
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
16 Jun 2021 - 24 Sep 2025
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
16 Jun 2021 - 24 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Apr 2019 - 07 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Apr 2019 - 07 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Nov 2018 - 18 Mar 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2015 - 09 Oct 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2015 - 09 Oct 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, HO YUEN
:
Chinese Name of Relevant Individual
莫浩源
:
HKMA Registration Number
AG9434
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
09 Oct 2025
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 4: advising on securities
09 Oct 2025
No
SALES MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9434
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 09 Oct 2025
No
AG9434
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 09 Oct 2025
No
AG9434
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Jun 2021 - 24 Sep 2025
No
AG9434
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Jun 2021 - 24 Sep 2025
No
AG9434
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Apr 2019 - 07 Feb 2021
No
AG9434
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Apr 2019 - 07 Feb 2021
No
AG9434
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
28 Nov 2018 - 18 Mar 2019
No
AG9434
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Oct 2015 - 09 Oct 2018
No
AG9434
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Oct 2015 - 09 Oct 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.