Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, WING SUM VINCENT
Chinese Name of Relevant Individual
吳永森
HKMA Registration Number
AC0662
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
17 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF PRODUCT DUE DILIGENCE & PLATFORM MANAGEMENT
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Oct 2023
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD OF PRODUCT DUE DILIGENCE & PLATFORM MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 17 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2010 - 20 Apr 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Mar 2007 - 06 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Mar 2007 - 06 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
22 Mar 2007 - 06 Jul 2007
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
22 Mar 2007 - 06 Jul 2007
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
22 Mar 2007 - 06 Jul 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Mar 2004 - 16 Mar 2007
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
02 Oct 2003 - 14 Mar 2004
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Oct 2003 - 14 Mar 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
NG, WING SUM VINCENT
:
Chinese Name of Relevant Individual
吳永森
:
HKMA Registration Number
AC0662
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
17 Oct 2023
No
HEAD OF PRODUCT DUE DILIGENCE & PLATFORM MANAGEMENT
EFG BANK AG
Type 4: advising on securities
17 Oct 2023
No
HEAD OF PRODUCT DUE DILIGENCE & PLATFORM MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0662
EFG BANK AG
Type 1: dealing in securities
Since 17 Oct 2023
No
AC0662
EFG BANK AG
Type 4: advising on securities
Since 17 Oct 2023
No
AC0662
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
17 May 2010 - 20 Apr 2012
No
AC0662
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
22 Mar 2007 - 06 Jul 2007
No
AC0662
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
22 Mar 2007 - 06 Jul 2007
No
AC0662
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
22 Mar 2007 - 06 Jul 2007
No
AC0662
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
22 Mar 2007 - 06 Jul 2007
No
AC0662
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
22 Mar 2007 - 06 Jul 2007
No
AC0662
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
15 Mar 2004 - 16 Mar 2007
No
AC0662
CITIBANK, N.A.
Type 1: dealing in securities
02 Oct 2003 - 14 Mar 2004
No
AC0662
CITIBANK, N.A.
Type 4: advising on securities
02 Oct 2003 - 14 Mar 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.