Register of Securities Staff of AIs

Last updated on 18/06/2026

Name of Relevant Individual

NG, HOI YAN

Chinese Name of Relevant Individual

吳凱欣

HKMA Registration Number

AC5874

Current Registration

Not Applicable

Business Address

Conditions

Registration History

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 1: dealing in securities

Effective Period

30 Nov 2016 - 16 Nov 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 2: dealing in futures contracts

Effective Period

30 Nov 2016 - 16 Nov 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 4: advising on securities

Effective Period

30 Nov 2016 - 16 Nov 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

LGT BANK AG

Regulated Activity

Type 5: advising on futures contracts

Effective Period

30 Nov 2016 - 16 Nov 2022

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

BANK JULIUS BAER & CO. LTD.

Regulated Activity

Type 1: dealing in securities

Effective Period

16 Sep 2015 - 29 Sep 2016

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

16 Sep 2015 - 29 Sep 2016

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

09 Mar 2010 - 25 Jun 2015

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

09 Mar 2010 - 25 Jun 2015

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CREDIT SUISSE

Regulated Activity

Type 1: dealing in securities

Effective Period

10 Jun 2005 - 22 Dec 2006

Is an Executive Officer? (Yes / No)

No

HKMA Registration Number

A

Registered Institution

CREDIT SUISSE

Regulated Activity

Type 4: advising on securities

Effective Period

10 Jun 2005 - 22 Dec 2006

Is an Executive Officer? (Yes / No)

No

Records: 1-10 of 10

Public Disciplinary Actions

:

Name of Relevant Individual

NG, HOI YAN

:

Chinese Name of Relevant Individual

吳凱欣

:

HKMA Registration Number

AC5874

Not Applicable

HKMA Registration Number

Registered Institution

Regulated Activity

Effective Period

Is an Executive Officer? (Yes / No)

AC5874

LGT BANK AG

Type 1: dealing in securities

30 Nov 2016 - 16 Nov 2022

No

AC5874

LGT BANK AG

Type 2: dealing in futures contracts

30 Nov 2016 - 16 Nov 2022

No

AC5874

LGT BANK AG

Type 4: advising on securities

30 Nov 2016 - 16 Nov 2022

No

AC5874

LGT BANK AG

Type 5: advising on futures contracts

30 Nov 2016 - 16 Nov 2022

No

AC5874

BANK JULIUS BAER & CO. LTD.

Type 1: dealing in securities

16 Sep 2015 - 29 Sep 2016

No

AC5874

BANK JULIUS BAER & CO. LTD.

Type 4: advising on securities

16 Sep 2015 - 29 Sep 2016

No

AC5874

BANK J. SAFRA SARASIN AG

Type 1: dealing in securities

09 Mar 2010 - 25 Jun 2015

No

AC5874

BANK J. SAFRA SARASIN AG

Type 4: advising on securities

09 Mar 2010 - 25 Jun 2015

No

AC5874

CREDIT SUISSE

Type 1: dealing in securities

10 Jun 2005 - 22 Dec 2006

No

AC5874

CREDIT SUISSE

Type 4: advising on securities

10 Jun 2005 - 22 Dec 2006

No