Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, TIN LOK ROCKY
Chinese Name of Relevant Individual
黃天樂
HKMA Registration Number
AH4657
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jan 2019 - 20 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jan 2019 - 20 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2018 - 01 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Jul 2018 - 01 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Oct 2017 - 29 Jun 2018
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 Jun 2017 - 17 Sep 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
16 May 2017 - 17 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
16 May 2017 - 17 Sep 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
WONG, TIN LOK ROCKY
:
Chinese Name of Relevant Individual
黃天樂
:
HKMA Registration Number
AH4657
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH4657
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
09 Jan 2019 - 20 Jan 2021
No
AH4657
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
09 Jan 2019 - 20 Jan 2021
No
AH4657
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
25 Jul 2018 - 01 Nov 2018
No
AH4657
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
25 Jul 2018 - 01 Nov 2018
No
AH4657
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
17 Oct 2017 - 29 Jun 2018
No
AH4657
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Jun 2017 - 17 Sep 2017
No
AH4657
HANG SENG BANK, LIMITED
Type 1: dealing in securities
16 May 2017 - 17 Sep 2017
No
AH4657
HANG SENG BANK, LIMITED
Type 4: advising on securities
16 May 2017 - 17 Sep 2017
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.