Register of Securities Staff of AIs

Last updated on 18/06/2026
< SEARCH AGAIN
Name of Relevant Individual
KWOK, KAM HEI
Chinese Name of Relevant Individual

郭錦熹
HKMA Registration Number
AI6429
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
20 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Apr 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
20 May 2022
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
Remarks
Business Address
Conditions
Registration History
Public Disciplinary Actions
:
Name of Relevant Individual
KWOK, KAM HEI
:
Chinese Name of Relevant Individual
郭錦熹
:
HKMA Registration Number
AI6429
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Apr 2021
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 2: dealing in futures contracts
20 May 2022
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Apr 2021
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 5: advising on futures contracts
20 May 2022
No
MARKETS & SECURITIES SERVICES, ASSOCIATE DIRECTOR