Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, HO NAM
Chinese Name of Relevant Individual
郭浩楠
HKMA Registration Number
AH8006
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2019 - 30 Oct 2019
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
13 Jul 2019 - 30 Oct 2019
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
29 May 2018 - 05 Jun 2019
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
29 May 2018 - 05 Jun 2019
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
KWOK, HO NAM
:
Chinese Name of Relevant Individual
郭浩楠
:
HKMA Registration Number
AH8006
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8006
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
13 Jul 2019 - 30 Oct 2019
No
AH8006
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
13 Jul 2019 - 30 Oct 2019
No
AH8006
DAH SING BANK, LIMITED
Type 1: dealing in securities
29 May 2018 - 05 Jun 2019
No
AH8006
DAH SING BANK, LIMITED
Type 4: advising on securities
29 May 2018 - 05 Jun 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.