Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, HO YU
Chinese Name of Relevant Individual
郭皓宇
HKMA Registration Number
AJ5997
Current Registration
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
03 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
03 Sep 2025
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 03 Sep 2025
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
Since 03 Sep 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2024 - 06 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2024 - 06 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Dec 2024 - 06 Aug 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Dec 2024 - 06 Aug 2025
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, HO YU
:
Chinese Name of Relevant Individual
郭皓宇
:
HKMA Registration Number
AJ5997
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
03 Sep 2025
No
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
03 Sep 2025
No
ASSISTANT VICE PRESIDENT, COMMERCIAL BANKING
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ5997
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 03 Sep 2025
No
AJ5997
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 03 Sep 2025
No
AJ5997
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
18 Dec 2024 - 06 Aug 2025
No
AJ5997
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
18 Dec 2024 - 06 Aug 2025
No
AJ5997
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
18 Dec 2024 - 06 Aug 2025
No
AJ5997
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
18 Dec 2024 - 06 Aug 2025
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.