Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KIN YAN
Chinese Name of Relevant Individual
吳健恩
HKMA Registration Number
AC5596
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
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Oct 2006 - 27 Nov 2007
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
28 Mar 2006 - 23 Jul 2006
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
03 Feb 2006 - 23 Jul 2006
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
03 Feb 2006 - 23 Jul 2006
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
26 Jul 2005 - 01 Nov 2005
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
26 Jul 2005 - 01 Nov 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2005 - 16 Jun 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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, KIN YAN
:
Chinese Name of Relevant Individual
吳健恩
:
HKMA Registration Number
AC5596
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5596
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
15 Oct 2006 - 27 Nov 2007
No
AC5596
HANG SENG BANK, LIMITED
Type 4: advising on securities
28 Mar 2006 - 23 Jul 2006
No
AC5596
HANG SENG BANK, LIMITED
Type 1: dealing in securities
03 Feb 2006 - 23 Jul 2006
No
AC5596
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
03 Feb 2006 - 23 Jul 2006
No
AC5596
DAH SING BANK, LIMITED
Type 1: dealing in securities
26 Jul 2005 - 01 Nov 2005
No
AC5596
DAH SING BANK, LIMITED
Type 4: advising on securities
26 Jul 2005 - 01 Nov 2005
No
AC5596
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
10 May 2005 - 16 Jun 2005
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.