Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, TRACY YUN-CHI
Chinese Name of Relevant Individual
吳韻知
HKMA Registration Number
AF3340
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
27 Feb 2019
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, DIRECTOR
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
27 Feb 2019
Is an Executive Officer? (Yes / No)
No
Capacity
MARKETS & SECURITIES SERVICES, DIRECTOR
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 27 Feb 2019
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
Since 27 Feb 2019
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 Jun 2014 - 11 Jan 2019
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 Jun 2014 - 11 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
10 Oct 2012 - 07 Dec 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
10 Oct 2012 - 07 Dec 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Oct 2011 - 22 May 2012
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 Oct 2011 - 22 May 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
NG, TRACY YUN-CHI
:
Chinese Name of Relevant Individual
吳韻知
:
HKMA Registration Number
AF3340
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
27 Feb 2019
No
MARKETS & SECURITIES SERVICES, DIRECTOR
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
27 Feb 2019
No
MARKETS & SECURITIES SERVICES, DIRECTOR
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3340
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 27 Feb 2019
No
AF3340
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 27 Feb 2019
No
AF3340
UNITED OVERSEAS BANK LTD.
Type 1: dealing in securities
18 Jun 2014 - 11 Jan 2019
No
AF3340
UNITED OVERSEAS BANK LTD.
Type 4: advising on securities
18 Jun 2014 - 11 Jan 2019
No
AF3340
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
10 Oct 2012 - 07 Dec 2012
No
AF3340
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
10 Oct 2012 - 07 Dec 2012
No
AF3340
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
13 Oct 2011 - 22 May 2012
No
AF3340
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
13 Oct 2011 - 22 May 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.