Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, NI NAU SHIRLEY
Chinese Name of Relevant Individual
黃妮妞
HKMA Registration Number
AF1917
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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
26 Aug 2019 - 14 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
26 Aug 2019 - 14 Jul 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jan 2019 - 19 May 2019
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
17 May 2018 - 07 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2012 - 06 Oct 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2012 - 06 Oct 2017
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Jul 2011 - 03 Jan 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Jul 2011 - 03 Jan 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
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
WONG, NI NAU SHIRLEY
:
Chinese Name of Relevant Individual
黃妮妞
:
HKMA Registration Number
AF1917
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF1917
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
26 Aug 2019 - 14 Jul 2024
Yes
AF1917
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
26 Aug 2019 - 14 Jul 2024
Yes
AF1917
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
08 Jan 2019 - 19 May 2019
Yes
AF1917
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
17 May 2018 - 07 Jan 2019
No
AF1917
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
04 Jan 2012 - 06 Oct 2017
Yes
AF1917
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
04 Jan 2012 - 06 Oct 2017
Yes
AF1917
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
09 Jul 2011 - 03 Jan 2012
No
AF1917
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
09 Jul 2011 - 03 Jan 2012
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.