Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, LOK MAN ROSE
Chinese Name of Relevant Individual
吳樂汶
HKMA Registration Number
AG6061
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 JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jul 2018 - 05 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jul 2018 - 05 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 11 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 11 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jan 2015 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jan 2015 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, LOK MAN ROSE
:
Chinese Name of Relevant Individual
吳樂汶
:
HKMA Registration Number
AG6061
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6061
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
04 Jul 2018 - 05 Oct 2021
No
AG6061
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
04 Jul 2018 - 05 Oct 2021
No
AG6061
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 11 Nov 2016
No
AG6061
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 11 Nov 2016
No
AG6061
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
10 Jan 2015 - 30 Sep 2016
No
AG6061
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
10 Jan 2015 - 30 Sep 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.