Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, LING YI
Chinese Name of Relevant Individual
郭翎伊
HKMA Registration Number
AI8256
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
27 Mar 2026 - 18 May 2026
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
27 Mar 2026 - 18 May 2026
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
07 Dec 2024 - 12 Mar 2026
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
07 Dec 2024 - 12 Mar 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Nov 2021 - 03 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
24 Nov 2021 - 03 Oct 2024
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, LING YI
:
Chinese Name of Relevant Individual
郭翎伊
:
HKMA Registration Number
AI8256
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8256
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
27 Mar 2026 - 18 May 2026
No
AI8256
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
27 Mar 2026 - 18 May 2026
No
AI8256
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
07 Dec 2024 - 12 Mar 2026
No
AI8256
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
07 Dec 2024 - 12 Mar 2026
No
AI8256
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
24 Nov 2021 - 03 Oct 2024
No
AI8256
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
24 Nov 2021 - 03 Oct 2024
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.