Register of Securities Staff of AIs
Last updated on 21/11/2025
Name of Relevant Individual
NG, WING YAN
Chinese Name of Relevant Individual
吳穎恩
HKMA Registration Number
AI5686
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
22 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
22 Jun 2023
Is an Executive Officer? (Yes / No)
No
Capacity
SENIOR RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
FUBON BANK (HONG KONG) LIMITED
SFC CE number
AAA582
Business Address
FUBON BANK BUILDING, 38 DES VOEUX 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
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 22 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 22 Jun 2023
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
03 Dec 2022 - 21 May 2023
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
03 Dec 2022 - 21 May 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
18 Aug 2021 - 18 Sep 2022
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
07 Jan 2021 - 18 Sep 2022
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
07 Jan 2021 - 18 Sep 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
NG, WING YAN
:
Chinese Name of Relevant Individual
吳穎恩
:
HKMA Registration Number
AI5686
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2023
No
SENIOR RELATIONSHIP MANAGER
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2023
No
SENIOR RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
FUBON BANK (HONG KONG) LIMITED
AAA582
FUBON BANK BUILDING, 38 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5686
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 22 Jun 2023
No
AI5686
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 22 Jun 2023
No
AI5686
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
03 Dec 2022 - 21 May 2023
No
AI5686
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
03 Dec 2022 - 21 May 2023
No
AI5686
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
18 Aug 2021 - 18 Sep 2022
No
AI5686
HANG SENG BANK, LIMITED
Type 1: dealing in securities
07 Jan 2021 - 18 Sep 2022
No
AI5686
HANG SENG BANK, LIMITED
Type 4: advising on securities
07 Jan 2021 - 18 Sep 2022
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.