Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KA YU
Chinese Name of Relevant Individual
吳家裕
HKMA Registration Number
AG4761
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
12 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS DEVELOPMENT - INSURANCE
Remarks
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
12 Jul 2022
Is an Executive Officer? (Yes / No)
No
Capacity
BUSINESS DEVELOPMENT - INSURANCE
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
SFC CE number
AAF138
Business Address
61-65, DES VOEUX 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
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 12 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 12 Jul 2022
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
30 Nov 2019 - 13 Jun 2022
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
30 Nov 2019 - 13 Jun 2022
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
04 Jul 2015 - 29 Sep 2019
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
04 Jul 2015 - 29 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Sep 2014 - 10 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Sep 2014 - 10 Jun 2015
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
NG, KA YU
:
Chinese Name of Relevant Individual
吳家裕
:
HKMA Registration Number
AG4761
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
12 Jul 2022
No
BUSINESS DEVELOPMENT - INSURANCE
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
12 Jul 2022
No
BUSINESS DEVELOPMENT - INSURANCE
Name of Registered Institution
SFC CE number
Business Address
CHINA CITIC BANK INTERNATIONAL LIMITED
AAF138
61-65, DES VOEUX ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG4761
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 12 Jul 2022
No
AG4761
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
Since 12 Jul 2022
No
AG4761
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
30 Nov 2019 - 13 Jun 2022
No
AG4761
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
30 Nov 2019 - 13 Jun 2022
No
AG4761
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Jul 2015 - 29 Sep 2019
No
AG4761
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Jul 2015 - 29 Sep 2019
No
AG4761
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
13 Sep 2014 - 10 Jun 2015
No
AG4761
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Sep 2014 - 10 Jun 2015
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.