Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, YAN
Chinese Name of Relevant Individual
吳茵
HKMA Registration Number
AC0840
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Oct 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 07 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 07 Oct 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2021 - 06 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
23 Mar 2021 - 06 May 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2011 - 21 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
06 Aug 2011 - 21 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2005 - 10 Jul 2011
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
11 Jan 2005 - 28 May 2005
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
11 Jan 2005 - 28 May 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Nov 2003 - 27 Dec 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, YAN
:
Chinese Name of Relevant Individual
吳茵
:
HKMA Registration Number
AC0840
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
07 Oct 2025
No
RELATIONSHIP AND PORTFOLIO SALES
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
07 Oct 2025
No
RELATIONSHIP AND PORTFOLIO SALES
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0840
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 07 Oct 2025
No
AC0840
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 07 Oct 2025
No
AC0840
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
23 Mar 2021 - 06 May 2021
No
AC0840
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
23 Mar 2021 - 06 May 2021
No
AC0840
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
06 Aug 2011 - 21 Aug 2014
No
AC0840
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
06 Aug 2011 - 21 Aug 2014
No
AC0840
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jun 2005 - 10 Jul 2011
No
AC0840
CITIBANK, N.A.
Type 1: dealing in securities
11 Jan 2005 - 28 May 2005
No
AC0840
CITIBANK, N.A.
Type 4: advising on securities
11 Jan 2005 - 28 May 2005
No
AC0840
ABN AMRO BANK N.V.
Type 1: dealing in securities
03 Nov 2003 - 27 Dec 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.