Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, YAT YIN
Chinese Name of Relevant Individual
郭逸姸
HKMA Registration Number
AI3241
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2024 - 14 Jun 2026
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
17 Jan 2024 - 14 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Jan 2024 - 14 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2024 - 14 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jan 2024 - 14 Jun 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK LTD.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Jan 2024 - 14 Jun 2026
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 Nov 2019 - 17 Dec 2023
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 Nov 2019 - 17 Dec 2023
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 Nov 2019 - 04 Nov 2019
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
KWOK, YAT YIN
:
Chinese Name of Relevant Individual
郭逸姸
:
HKMA Registration Number
AI3241
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3241
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
17 Jan 2024 - 14 Jun 2026
No
AI3241
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
17 Jan 2024 - 14 Jun 2026
No
AI3241
DBS BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
17 Jan 2024 - 14 Jun 2026
No
AI3241
DBS BANK LTD.
Type 1: dealing in securities
17 Jan 2024 - 14 Jun 2026
No
AI3241
DBS BANK LTD.
Type 4: advising on securities
17 Jan 2024 - 14 Jun 2026
No
AI3241
DBS BANK LTD.
Type 6: advising on corporate finance
17 Jan 2024 - 14 Jun 2026
No
AI3241
HANG SENG BANK, LIMITED
Type 1: dealing in securities
01 Nov 2019 - 17 Dec 2023
No
AI3241
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
01 Nov 2019 - 17 Dec 2023
No
AI3241
HANG SENG BANK, LIMITED
Type 4: advising on securities
01 Nov 2019 - 04 Nov 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.