Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGAN, LAM SHING
Chinese Name of Relevant Individual
顏林成
HKMA Registration Number
AD0057
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
First date of engagement
10 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
VICE PRESIDENT
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
First date of engagement
10 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
VICE PRESIDENT
Remarks
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 9: asset management
First date of engagement
19 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
HEAD OF SALES TEAM, ASSET MANAGEMENT DEPARTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
INDUSTRIAL BANK CO., LTD.
SFC CE number
ALZ901
Business Address
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
INDUSTRIAL BANK CO., LTD.
Effective Date
19 Dec 2023
Description
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
2
Registered Institution
INDUSTRIAL BANK CO., LTD.
Effective Date
19 Dec 2023
Description
For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of Industrial Bank Co., Ltd. not subject to a similar condition.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 9: asset management
Effective Period
Since 19 Dec 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 10 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
INDUSTRIAL BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 10 Jun 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Dec 2006 - 08 Apr 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
22 Dec 2006 - 08 Apr 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 9: asset management
Effective Period
22 Dec 2006 - 01 Apr 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jul 2006 - 21 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jul 2006 - 21 Dec 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA
Regulated Activity
Type 9: asset management
Effective Period
10 Jul 2006 - 21 Dec 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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
NGAN, LAM SHING
:
Chinese Name of Relevant Individual
顏林成
:
HKMA Registration Number
AD0057
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
10 Jun 2021
Yes
VICE PRESIDENT
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
10 Jun 2021
Yes
VICE PRESIDENT
INDUSTRIAL BANK CO., LTD.
Type 9: asset management
19 Dec 2023
Yes
HEAD OF SALES TEAM, ASSET MANAGEMENT DEPARTMENT
Name of Registered Institution
SFC CE number
Business Address
INDUSTRIAL BANK CO., LTD.
ALZ901
10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
INDUSTRIAL BANK CO., LTD.
1
19 Dec 2023
For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only.
INDUSTRIAL BANK CO., LTD.
2
19 Dec 2023
For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of Industrial Bank Co., Ltd. not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AD0057
INDUSTRIAL BANK CO., LTD.
Type 9: asset management
Since 19 Dec 2023
Yes
AD0057
INDUSTRIAL BANK CO., LTD.
Type 1: dealing in securities
Since 10 Jun 2021
Yes
AD0057
INDUSTRIAL BANK CO., LTD.
Type 4: advising on securities
Since 10 Jun 2021
Yes
AD0057
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
22 Dec 2006 - 08 Apr 2019
Yes
AD0057
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
22 Dec 2006 - 08 Apr 2019
Yes
AD0057
AGRICULTURAL BANK OF CHINA LIMITED
Type 9: asset management
22 Dec 2006 - 01 Apr 2019
Yes
AD0057
AGRICULTURAL BANK OF CHINA
Type 1: dealing in securities
10 Jul 2006 - 21 Dec 2006
No
AD0057
AGRICULTURAL BANK OF CHINA
Type 4: advising on securities
10 Jul 2006 - 21 Dec 2006
No
AD0057
AGRICULTURAL BANK OF CHINA
Type 9: asset management
10 Jul 2006 - 21 Dec 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.