Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SZE NGA
Chinese Name of Relevant Individual
吳斯雅
HKMA Registration Number
AC5075
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Jun 2024
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS SALES AND MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
SFC CE number
AAJ281
Business Address
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S 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
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 08 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 08 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Mar 2023 - 10 Dec 2023
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
08 Mar 2023 - 10 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NANYANG COMMERCIAL BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Feb 2020 - 13 Dec 2021
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
14 Feb 2020 - 13 Dec 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Jul 2019 - 01 Jan 2020
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
26 Jul 2019 - 01 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Dec 2018 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Dec 2018 - 14 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Jul 2017 - 07 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Jul 2017 - 07 Nov 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Aug 2011 - 01 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Aug 2011 - 01 Oct 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING HANG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Apr 2010 - 24 Jul 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
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, SZE NGA
:
Chinese Name of Relevant Individual
吳斯雅
:
HKMA Registration Number
AC5075
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
08 Jun 2024
No
BUSINESS SALES AND MANAGEMENT
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
08 Jun 2024
No
BUSINESS SALES AND MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
SHANGHAI COMMERCIAL BANK LIMITED
AAJ281
SHANGHAI COMMERCIAL BANK TOWER, 12 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5075
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
Since 08 Jun 2024
No
AC5075
SHANGHAI COMMERCIAL BANK LIMITED
Type 4: advising on securities
Since 08 Jun 2024
No
AC5075
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
08 Mar 2023 - 10 Dec 2023
No
AC5075
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
08 Mar 2023 - 10 Dec 2023
No
AC5075
NANYANG COMMERCIAL BANK, LIMITED
Type 1: dealing in securities
14 Feb 2020 - 13 Dec 2021
No
AC5075
NANYANG COMMERCIAL BANK, LIMITED
Type 4: advising on securities
14 Feb 2020 - 13 Dec 2021
No
AC5075
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
26 Jul 2019 - 01 Jan 2020
No
AC5075
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
26 Jul 2019 - 01 Jan 2020
No
AC5075
DAH SING BANK, LIMITED
Type 1: dealing in securities
01 Dec 2018 - 14 Apr 2019
No
AC5075
DAH SING BANK, LIMITED
Type 4: advising on securities
01 Dec 2018 - 14 Apr 2019
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Jul 2017 - 07 Nov 2018
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Jul 2017 - 07 Nov 2018
No
AC5075
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
22 Aug 2011 - 01 Oct 2016
No
AC5075
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
22 Aug 2011 - 01 Oct 2016
No
AC5075
WING HANG BANK, LIMITED
Type 1: dealing in securities
30 Apr 2010 - 24 Jul 2011
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
16 May 2008 - 07 Mar 2010
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
16 May 2008 - 07 Mar 2010
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 6: advising on corporate finance
16 May 2008 - 07 Mar 2010
No
AC5075
BANK OF EAST ASIA, LIMITED (THE)
Type 9: asset management
16 May 2008 - 07 Mar 2010
No
AC5075
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
17 Mar 2005 - 01 May 2008
No
AC5075
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
17 Mar 2005 - 01 May 2008
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.