Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, KA YAN
Chinese Name of Relevant Individual
郭家恩
HKMA Registration Number
AH0989
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH SALES MANAGEMENT MANAGER
Remarks
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Mar 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH SALES MANAGEMENT MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHIYU BANKING CORPORATION LIMITED
SFC CE number
AAL594
Business Address
74-78 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
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2021 - 27 Aug 2024
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
14 Jul 2021 - 27 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2019 - 01 Jun 2021
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
01 Aug 2019 - 01 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Aug 2019 - 01 Jun 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Oct 2017 - 28 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
02 Oct 2017 - 28 Nov 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Mar 2016 - 22 Sep 2017
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
17 Mar 2016 - 22 Sep 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
17 Mar 2016 - 11 Sep 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-12 of 12
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 YAN
:
Chinese Name of Relevant Individual
郭家恩
:
HKMA Registration Number
AH0989
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
20 Mar 2025
No
ASSISTANT BRANCH SALES MANAGEMENT MANAGER
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
20 Mar 2025
No
ASSISTANT BRANCH SALES MANAGEMENT MANAGER
Name of Registered Institution
SFC CE number
Business Address
CHIYU BANKING CORPORATION LIMITED
AAL594
74-78 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0989
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
Since 20 Mar 2025
No
AH0989
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
Since 20 Mar 2025
No
AH0989
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
14 Jul 2021 - 27 Aug 2024
No
AH0989
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
14 Jul 2021 - 27 Aug 2024
No
AH0989
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Aug 2019 - 01 Jun 2021
No
AH0989
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Aug 2019 - 01 Jun 2021
No
AH0989
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Aug 2019 - 01 Jun 2021
No
AH0989
DAH SING BANK, LIMITED
Type 1: dealing in securities
02 Oct 2017 - 28 Nov 2017
No
AH0989
DAH SING BANK, LIMITED
Type 4: advising on securities
02 Oct 2017 - 28 Nov 2017
No
AH0989
HANG SENG BANK, LIMITED
Type 1: dealing in securities
17 Mar 2016 - 22 Sep 2017
No
AH0989
HANG SENG BANK, LIMITED
Type 4: advising on securities
17 Mar 2016 - 22 Sep 2017
No
AH0989
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
17 Mar 2016 - 11 Sep 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.