Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HOI YAN HEIDI
Chinese Name of Relevant Individual
吳凱恩
HKMA Registration Number
AC5478
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 JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Aug 2025 - 29 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
30 Aug 2025 - 29 Dec 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
31 May 2024 - 24 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
31 May 2024 - 24 Mar 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Feb 2014 - 31 May 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
18 Feb 2014 - 31 May 2024
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
05 Jun 2008 - 04 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jun 2008 - 04 Nov 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jun 2008 - 04 Nov 2010
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
26 Apr 2005 - 04 Nov 2010
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, HOI YAN HEIDI
:
Chinese Name of Relevant Individual
吳凱恩
:
HKMA Registration Number
AC5478
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5478
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
30 Aug 2025 - 29 Dec 2025
No
AC5478
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
30 Aug 2025 - 29 Dec 2025
No
AC5478
UBS AG
Type 1: dealing in securities
31 May 2024 - 24 Mar 2025
No
AC5478
UBS AG
Type 4: advising on securities
31 May 2024 - 24 Mar 2025
No
AC5478
CREDIT SUISSE AG
Type 1: dealing in securities
18 Feb 2014 - 31 May 2024
No
AC5478
CREDIT SUISSE AG
Type 4: advising on securities
18 Feb 2014 - 31 May 2024
No
AC5478
CITIBANK, N.A.
Type 4: advising on securities
05 Jun 2008 - 04 Nov 2010
No
AC5478
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
05 Jun 2008 - 04 Nov 2010
No
AC5478
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
05 Jun 2008 - 04 Nov 2010
No
AC5478
CITIBANK, N.A.
Type 1: dealing in securities
26 Apr 2005 - 04 Nov 2010
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.