Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGUON, THONG
Chinese Name of Relevant Individual
HKMA Registration Number
AF1170
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 AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Nov 2011 - 28 Feb 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
09 Nov 2011 - 28 Feb 2012
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
13 May 2011 - 08 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
13 May 2011 - 08 Nov 2011
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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
NGUON, THONG
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF1170
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1170
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
09 Nov 2011 - 28 Feb 2012
Yes
AF1170
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
09 Nov 2011 - 28 Feb 2012
Yes
AF1170
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
13 May 2011 - 08 Nov 2011
No
AF1170
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
13 May 2011 - 08 Nov 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.