Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, WAI SO
Chinese Name of Relevant Individual
吳煒蘇
HKMA Registration Number
AG3386
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
25 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, BRANCHES
Remarks
Registered Institution
DAH SING BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
25 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGEMENT, BRANCHES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
DAH SING BANK, LIMITED
SFC CE number
AAK565
Business Address
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, 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
DAH SING BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 25 Apr 2025
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
Since 25 Apr 2025
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
24 Aug 2018 - 11 Apr 2025
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
24 Aug 2018 - 11 Apr 2025
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
24 Aug 2018 - 11 Apr 2025
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
20 Oct 2017 - 13 Jun 2018
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
20 Oct 2017 - 13 Jun 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
06 May 2017 - 04 Oct 2017
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
06 May 2017 - 04 Oct 2017
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
10 Jan 2017 - 20 Feb 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
10 Jan 2017 - 20 Feb 2017
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
25 May 2016 - 09 Dec 2016
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
25 May 2016 - 09 Dec 2016
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
14 May 2014 - 14 May 2016
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
14 May 2014 - 14 May 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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, WAI SO
:
Chinese Name of Relevant Individual
吳煒蘇
:
HKMA Registration Number
AG3386
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
DAH SING BANK, LIMITED
Type 1: dealing in securities
25 Apr 2025
No
RELATIONSHIP MANAGEMENT, BRANCHES
DAH SING BANK, LIMITED
Type 4: advising on securities
25 Apr 2025
No
RELATIONSHIP MANAGEMENT, BRANCHES
Name of Registered Institution
SFC CE number
Business Address
DAH SING BANK, LIMITED
AAK565
26/F, DAH SING FINANCIAL CENTRE, 248 QUEEN'S ROAD EAST, WAN CHAI, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3386
DAH SING BANK, LIMITED
Type 1: dealing in securities
Since 25 Apr 2025
No
AG3386
DAH SING BANK, LIMITED
Type 4: advising on securities
Since 25 Apr 2025
No
AG3386
HANG SENG BANK, LIMITED
Type 1: dealing in securities
24 Aug 2018 - 11 Apr 2025
No
AG3386
HANG SENG BANK, LIMITED
Type 4: advising on securities
24 Aug 2018 - 11 Apr 2025
No
AG3386
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
24 Aug 2018 - 11 Apr 2025
No
AG3386
DAH SING BANK, LIMITED
Type 1: dealing in securities
20 Oct 2017 - 13 Jun 2018
No
AG3386
DAH SING BANK, LIMITED
Type 4: advising on securities
20 Oct 2017 - 13 Jun 2018
No
AG3386
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
06 May 2017 - 04 Oct 2017
No
AG3386
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
06 May 2017 - 04 Oct 2017
No
AG3386
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
10 Jan 2017 - 20 Feb 2017
No
AG3386
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
10 Jan 2017 - 20 Feb 2017
No
AG3386
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 May 2016 - 09 Dec 2016
No
AG3386
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 May 2016 - 09 Dec 2016
No
AG3386
HANG SENG BANK, LIMITED
Type 1: dealing in securities
14 May 2014 - 14 May 2016
No
AG3386
HANG SENG BANK, LIMITED
Type 4: advising on securities
14 May 2014 - 14 May 2016
No
AG3386
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
14 May 2014 - 14 May 2016
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.