Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KOK, KA WAI
Chinese Name of Relevant Individual
郭嘉偉
HKMA Registration Number
AI9416
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
21 May 2025 - 03 Oct 2025
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
21 May 2025 - 03 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 May 2022 - 06 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 May 2022 - 06 Jul 2023
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
KOK, KA WAI
:
Chinese Name of Relevant Individual
郭嘉偉
:
HKMA Registration Number
AI9416
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI9416
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 May 2025 - 03 Oct 2025
No
AI9416
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 May 2025 - 03 Oct 2025
No
AI9416
UBS AG
Type 1: dealing in securities
21 May 2022 - 06 Jul 2023
No
AI9416
UBS AG
Type 4: advising on securities
21 May 2022 - 06 Jul 2023
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.