Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SHIU YUEN
Chinese Name of Relevant Individual
吳兆源
HKMA Registration Number
AC6081
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
16 Jun 2017
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Registered Institution
EFG BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
19 Aug 2017
Is an Executive Officer? (Yes / No)
No
Capacity
DEALER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
EFG BANK AG
SFC CE number
AFV863
Business Address
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
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
EFG BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 19 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 16 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Sep 2007 - 08 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UNITED OVERSEAS BANK LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
18 Sep 2007 - 08 Jun 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
12 May 2006 - 06 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Jul 2005 - 01 May 2006
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, SHIU YUEN
:
Chinese Name of Relevant Individual
吳兆源
:
HKMA Registration Number
AC6081
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
EFG BANK AG
Type 1: dealing in securities
16 Jun 2017
No
DEALER
EFG BANK AG
Type 4: advising on securities
19 Aug 2017
No
DEALER
Name of Registered Institution
SFC CE number
Business Address
EFG BANK AG
AFV863
LEVEL 18, INTERNATIONAL COMMERCE CENTRE, 1 AUSTIN ROAD WEST, KOWLOON.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC6081
EFG BANK AG
Type 4: advising on securities
Since 19 Aug 2017
No
AC6081
EFG BANK AG
Type 1: dealing in securities
Since 16 Jun 2017
No
AC6081
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
18 Sep 2007 - 08 Jun 2017
No
AC6081
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
18 Sep 2007 - 08 Jun 2017
No
AC6081
EFG BANK
Type 1: dealing in securities
12 May 2006 - 06 Aug 2007
No
AC6081
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
06 Jul 2005 - 01 May 2006
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.