Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, CHUN YIN
Chinese Name of Relevant Individual
吳俊賢
HKMA Registration Number
AF0361
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD & SENIOR VICE PRESIDENT
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Apr 2023
Is an Executive Officer? (Yes / No)
No
Capacity
TEAM HEAD & SENIOR VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Aug 2015 - 11 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
18 Aug 2015 - 11 Mar 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2013 - 09 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2013 - 09 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Apr 2012 - 02 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
26 Apr 2012 - 02 Oct 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Mar 2011 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
12 Mar 2011 - 07 Jun 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, CHUN YIN
:
Chinese Name of Relevant Individual
吳俊賢
:
HKMA Registration Number
AF0361
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
12 Apr 2023
No
TEAM HEAD & SENIOR VICE PRESIDENT
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
12 Apr 2023
No
TEAM HEAD & SENIOR VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0361
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 12 Apr 2023
No
AF0361
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 12 Apr 2023
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
18 Aug 2015 - 11 Mar 2023
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
18 Aug 2015 - 11 Mar 2023
No
AF0361
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
04 Jan 2013 - 09 Aug 2015
No
AF0361
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
04 Jan 2013 - 09 Aug 2015
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
26 Apr 2012 - 02 Oct 2012
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
26 Apr 2012 - 02 Oct 2012
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
12 Mar 2011 - 07 Jun 2011
No
AF0361
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
12 Mar 2011 - 07 Jun 2011
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.