Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KA MAN
Chinese Name of Relevant Individual
吳嘉敏
HKMA Registration Number
AF6333
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
16 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE ASSISTANT MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
16 Jul 2021
Is an Executive Officer? (Yes / No)
No
Capacity
HSBC PREMIER ELITE ASSISTANT MANAGER
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 16 Jul 2021
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 16 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2020 - 21 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2020 - 21 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
21 Apr 2020 - 21 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 May 2019 - 27 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 May 2019 - 27 Dec 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2018 - 18 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2018 - 18 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Jun 2018 - 28 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Jun 2018 - 28 Aug 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Sep 2017 - 10 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Sep 2017 - 10 May 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jul 2014 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jul 2014 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 19
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, KA MAN
:
Chinese Name of Relevant Individual
吳嘉敏
:
HKMA Registration Number
AF6333
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
16 Jul 2021
No
HSBC PREMIER ELITE ASSISTANT MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
16 Jul 2021
No
HSBC PREMIER ELITE ASSISTANT MANAGER
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)
AF6333
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 16 Jul 2021
No
AF6333
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 16 Jul 2021
No
AF6333
HANG SENG BANK, LIMITED
Type 1: dealing in securities
21 Apr 2020 - 21 Jan 2021
No
AF6333
HANG SENG BANK, LIMITED
Type 4: advising on securities
21 Apr 2020 - 21 Jan 2021
No
AF6333
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
21 Apr 2020 - 21 Jan 2021
No
AF6333
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
04 May 2019 - 27 Dec 2019
No
AF6333
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
04 May 2019 - 27 Dec 2019
No
AF6333
DAH SING BANK, LIMITED
Type 1: dealing in securities
05 Oct 2018 - 18 Feb 2019
No
AF6333
DAH SING BANK, LIMITED
Type 4: advising on securities
05 Oct 2018 - 18 Feb 2019
No
AF6333
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
29 Jun 2018 - 28 Aug 2018
No
AF6333
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
29 Jun 2018 - 28 Aug 2018
No
AF6333
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Sep 2017 - 10 May 2018
No
AF6333
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Sep 2017 - 10 May 2018
No
AF6333
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
24 Jul 2014 - 14 Jul 2017
No
AF6333
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
24 Jul 2014 - 14 Jul 2017
No
AF6333
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 May 2014 - 03 Jul 2014
No
AF6333
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 May 2014 - 03 Jul 2014
No
AF6333
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
22 Jun 2012 - 23 Mar 2014
No
AF6333
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
22 Jun 2012 - 23 Mar 2014
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.