Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, POLLY MIU LING
Chinese Name of Relevant Individual
HKMA Registration Number
AF6676
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 J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Dec 2017 - 22 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
21 Dec 2017 - 22 Jan 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
04 Feb 2015 - 15 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
04 Feb 2015 - 15 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Dec 2014 - 15 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
02 Dec 2014 - 15 Dec 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE BANK & TRUST
Regulated Activity
Type 1: dealing in securities
Effective Period
31 Jan 2014 - 03 Oct 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Jul 2012 - 25 Jun 2013
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, POLLY MIU LING
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF6676
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF6676
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
21 Dec 2017 - 22 Jan 2018
No
AF6676
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
21 Dec 2017 - 22 Jan 2018
No
AF6676
LGT BANK AG
Type 2: dealing in futures contracts
04 Feb 2015 - 15 Dec 2017
No
AF6676
LGT BANK AG
Type 5: advising on futures contracts
04 Feb 2015 - 15 Dec 2017
No
AF6676
LGT BANK AG
Type 1: dealing in securities
02 Dec 2014 - 15 Dec 2017
No
AF6676
LGT BANK AG
Type 4: advising on securities
02 Dec 2014 - 15 Dec 2017
No
AF6676
SOCIETE GENERALE BANK & TRUST
Type 1: dealing in securities
31 Jan 2014 - 03 Oct 2014
No
AF6676
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
28 Jul 2012 - 25 Jun 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.