Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SZE MAN
Chinese Name of Relevant Individual
吳施敏
HKMA Registration Number
AF3835
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
Capacity
ASSISTANT VICE PRESIDENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK SINOPAC
SFC CE number
ABR747
Business Address
26/F, CENTRAL TOWER, 28 QUEEN'S ROAD CENTRAL, 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 SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Aug 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Aug 2024
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2023 - 22 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK SINOPAC
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jul 2023 - 22 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Jan 2021 - 13 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Jan 2021 - 13 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2017 - 07 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
15 Sep 2017 - 07 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 11 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 11 Aug 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2013 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
24 Aug 2013 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Nov 2011 - 18 Aug 2013
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, SZE MAN
:
Chinese Name of Relevant Individual
吳施敏
:
HKMA Registration Number
AF3835
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK SINOPAC
Type 1: dealing in securities
14 Jul 2023
Yes
ASSISTANT VICE PRESIDENT
BANK SINOPAC
Type 4: advising on securities
14 Jul 2023
Yes
ASSISTANT VICE PRESIDENT
Name of Registered Institution
SFC CE number
Business Address
BANK SINOPAC
ABR747
26/F, CENTRAL TOWER, 28 QUEEN'S ROAD CENTRAL, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF3835
BANK SINOPAC
Type 1: dealing in securities
Since 23 Aug 2024
Yes
AF3835
BANK SINOPAC
Type 4: advising on securities
Since 23 Aug 2024
Yes
AF3835
BANK SINOPAC
Type 1: dealing in securities
14 Jul 2023 - 22 Aug 2024
No
AF3835
BANK SINOPAC
Type 4: advising on securities
14 Jul 2023 - 22 Aug 2024
No
AF3835
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
05 Jan 2021 - 13 Apr 2021
No
AF3835
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Jan 2021 - 13 Apr 2021
No
AF3835
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Sep 2017 - 07 Dec 2018
No
AF3835
MORGAN STANLEY ASIA INTERNATIONAL LIMITED
Type 2: dealing in futures contracts
15 Sep 2017 - 07 Dec 2018
No
AF3835
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 11 Aug 2017
No
AF3835
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 11 Aug 2017
No
AF3835
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
24 Aug 2013 - 30 Sep 2016
No
AF3835
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
24 Aug 2013 - 30 Sep 2016
No
AF3835
UBS AG
Type 1: dealing in securities
18 Nov 2011 - 18 Aug 2013
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.