Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SIU NIN
Chinese Name of Relevant Individual
吳小年
HKMA Registration Number
AA0667
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 31 Jan 2017
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
01 Apr 2003 - 31 Jan 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 05 Sep 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
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, SIU NIN
:
Chinese Name of Relevant Individual
吳小年
:
HKMA Registration Number
AA0667
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0667
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 31 Jan 2017
No
AA0667
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 31 Jan 2017
No
AA0667
BANK OF CHINA (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 05 Sep 2004
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.