Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, LAI SHAN CECILIA
Chinese Name of Relevant Individual
吳麗珊
HKMA Registration Number
AA1483
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 J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Dec 2020 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
08 Dec 2020 - 30 Jun 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2013 - 06 Oct 2020
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
01 Nov 2013 - 06 Oct 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Mar 2009 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
02 Mar 2009 - 01 Nov 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Nov 2004 - 02 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
11 Nov 2004 - 02 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 9: asset management
Effective Period
11 Nov 2004 - 02 Feb 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 28 Oct 2004
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, LAI SHAN CECILIA
:
Chinese Name of Relevant Individual
吳麗珊
:
HKMA Registration Number
AA1483
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1483
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
08 Dec 2020 - 30 Jun 2022
No
AA1483
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
08 Dec 2020 - 30 Jun 2022
No
AA1483
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
01 Nov 2013 - 06 Oct 2020
No
AA1483
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
01 Nov 2013 - 06 Oct 2020
No
AA1483
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
02 Mar 2009 - 01 Nov 2013
No
AA1483
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
02 Mar 2009 - 01 Nov 2013
No
AA1483
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
11 Nov 2004 - 02 Feb 2009
No
AA1483
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
11 Nov 2004 - 02 Feb 2009
No
AA1483
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 9: asset management
11 Nov 2004 - 02 Feb 2009
No
AA1483
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 28 Oct 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.