Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SIU NGONG ADRIAN
Chinese Name of Relevant Individual
吳少昂
HKMA Registration Number
AC0363
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
08 Dec 2017
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, INSURANCE PRODUCTS
Remarks
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Dec 2017
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT VICE PRESIDENT, INSURANCE PRODUCTS
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 08 Dec 2017
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 08 Dec 2017
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
07 Mar 2013 - 06 Oct 2015
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
07 Mar 2013 - 06 Oct 2015
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
02 Jun 2006 - 02 May 2010
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
02 Jun 2006 - 02 May 2010
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
12 Oct 2004 - 17 Jul 2005
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
10 Mar 2004 - 17 Jul 2005
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
10 Mar 2004 - 17 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Aug 2003 - 13 Jan 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, SIU NGONG ADRIAN
:
Chinese Name of Relevant Individual
吳少昂
:
HKMA Registration Number
AC0363
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
08 Dec 2017
No
ASSISTANT VICE PRESIDENT, INSURANCE PRODUCTS
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 Dec 2017
No
ASSISTANT VICE PRESIDENT, INSURANCE PRODUCTS
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)
AC0363
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 08 Dec 2017
No
AC0363
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 08 Dec 2017
No
AC0363
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Mar 2013 - 06 Oct 2015
No
AC0363
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Mar 2013 - 06 Oct 2015
No
AC0363
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
02 Jun 2006 - 02 May 2010
No
AC0363
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
02 Jun 2006 - 02 May 2010
No
AC0363
HANG SENG BANK, LIMITED
Type 4: advising on securities
12 Oct 2004 - 17 Jul 2005
No
AC0363
HANG SENG BANK, LIMITED
Type 1: dealing in securities
10 Mar 2004 - 17 Jul 2005
No
AC0363
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
10 Mar 2004 - 17 Jul 2005
No
AC0363
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
01 Aug 2003 - 13 Jan 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.