Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
FUNG, NGA YAN SALLY
Chinese Name of Relevant Individual
馮雅茵
HKMA Registration Number
AA0874
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
01 May 2018
Is an Executive Officer? (Yes / No)
No
Capacity
PERSONAL BANKING
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
SFC CE number
AAI250
Business Address
NANYANG COMMERCIAL BANK BUILDING, 151 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
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 01 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 01 May 2018
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
21 Aug 2013 - 17 Dec 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
21 Aug 2013 - 17 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Feb 2008 - 14 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Feb 2008 - 14 Oct 2012
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
14 Jul 2006 - 02 Jan 2008
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
14 Jul 2006 - 02 Jan 2008
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
01 Apr 2003 - 10 Jun 2006
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 - 10 Jun 2006
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: 1-11 of 11
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
FUNG, NGA YAN SALLY
:
Chinese Name of Relevant Individual
馮雅茵
:
HKMA Registration Number
AA0874
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
01 May 2018
No
PERSONAL BANKING
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
01 May 2018
No
PERSONAL BANKING
Name of Registered Institution
SFC CE number
Business Address
NANYANG COMMERCIAL BANK, LIMITED
AAI250
NANYANG COMMERCIAL BANK BUILDING, 151 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA0874
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
Since 01 May 2018
No
AA0874
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
Since 01 May 2018
No
AA0874
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
21 Aug 2013 - 17 Dec 2017
No
AA0874
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
21 Aug 2013 - 17 Dec 2017
No
AA0874
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
06 Feb 2008 - 14 Oct 2012
No
AA0874
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
06 Feb 2008 - 14 Oct 2012
No
AA0874
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
14 Jul 2006 - 02 Jan 2008
No
AA0874
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
14 Jul 2006 - 02 Jan 2008
No
AA0874
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 10 Jun 2006
No
AA0874
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 10 Jun 2006
No
AA0874
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.