Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HOU MAN RODERICK
Chinese Name of Relevant Individual
伍浩民
HKMA Registration Number
AC5840
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
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Dec 2014 - 06 Oct 2023
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
06 Dec 2014 - 06 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2013 - 20 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2013 - 20 Aug 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jun 2005 - 19 May 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jun 2005 - 19 May 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, HOU MAN RODERICK
:
Chinese Name of Relevant Individual
伍浩民
:
HKMA Registration Number
AC5840
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC5840
CREDIT SUISSE AG
Type 1: dealing in securities
06 Dec 2014 - 06 Oct 2023
No
AC5840
CREDIT SUISSE AG
Type 4: advising on securities
06 Dec 2014 - 06 Oct 2023
No
AC5840
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
13 Jul 2013 - 20 Aug 2014
No
AC5840
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
13 Jul 2013 - 20 Aug 2014
No
AC5840
CREDIT SUISSE
Type 1: dealing in securities
07 Jun 2005 - 19 May 2009
No
AC5840
CREDIT SUISSE
Type 4: advising on securities
07 Jun 2005 - 19 May 2009
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.