Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, TSZ YAN
Chinese Name of Relevant Individual
伍芷欣
HKMA Registration Number
AG1106
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
13 Dec 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES, CONSUMER FINANCIAL SERVICES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
OCBC BANK (HONG KONG) LIMITED
SFC CE number
AAC083
Business Address
OCBC CENTRE, 161 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
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 13 Dec 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2023 - 26 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Mar 2023 - 04 Jun 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2018 - 30 Jun 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Sep 2017 - 14 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Sep 2017 - 14 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SHANGHAI COMMERCIAL BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Apr 2015 - 23 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Sep 2013 - 28 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
20 Sep 2013 - 28 Feb 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, TSZ YAN
:
Chinese Name of Relevant Individual
伍芷欣
:
HKMA Registration Number
AG1106
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Dec 2024
No
CUSTOMER SERVICES, CONSUMER FINANCIAL SERVICES
Name of Registered Institution
SFC CE number
Business Address
OCBC BANK (HONG KONG) LIMITED
AAC083
OCBC CENTRE, 161 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG1106
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 13 Dec 2024
No
AG1106
OCBC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
11 Oct 2023 - 26 Aug 2024
No
AG1106
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
07 Mar 2023 - 04 Jun 2023
No
AG1106
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
24 Aug 2018 - 30 Jun 2020
No
AG1106
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
08 Sep 2017 - 14 Jul 2018
No
AG1106
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
08 Sep 2017 - 14 Jul 2018
No
AG1106
SHANGHAI COMMERCIAL BANK LIMITED
Type 1: dealing in securities
24 Apr 2015 - 23 Jul 2017
No
AG1106
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Sep 2013 - 28 Feb 2014
No
AG1106
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Sep 2013 - 28 Feb 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.