Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, HOI FUNG
Chinese Name of Relevant Individual
郭凱豐
HKMA Registration Number
AH3493
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
15 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
15 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
First date of engagement
15 Sep 2022
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Name of Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
SFC CE number
AAK782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
Since 15 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Oct 2019 - 28 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Oct 2019 - 28 Aug 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Dec 2016 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
28 Dec 2016 - 13 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 9: asset management
Effective Period
28 Dec 2016 - 01 Apr 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, HOI FUNG
:
Chinese Name of Relevant Individual
郭凱豐
:
HKMA Registration Number
AH3493
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
15 Sep 2022
No
DEALER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
15 Sep 2022
No
DEALER
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
15 Sep 2022
No
DEALER
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
15 Sep 2022
No
DEALER
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
15 Sep 2022
No
DEALER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
BANK OF COMMUNICATIONS CO., LTD.
AAK782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH3493
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 15 Sep 2022
No
AH3493
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 15 Sep 2022
No
AH3493
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
Since 15 Sep 2022
No
AH3493
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
Since 15 Sep 2022
No
AH3493
BANK OF COMMUNICATIONS CO., LTD.
Type 9: asset management
Since 15 Sep 2022
No
AH3493
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
18 Oct 2019 - 28 Aug 2022
No
AH3493
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
18 Oct 2019 - 28 Aug 2022
No
AH3493
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
28 Dec 2016 - 13 Sep 2019
No
AH3493
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
28 Dec 2016 - 13 Sep 2019
No
AH3493
AGRICULTURAL BANK OF CHINA LIMITED
Type 9: asset management
28 Dec 2016 - 01 Apr 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.