Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HO YIN
Chinese Name of Relevant Individual
吳浩然
HKMA Registration Number
AG6724
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Dec 2020
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Dec 2020
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
First date of engagement
23 Dec 2020
Is an Executive Officer? (Yes / No)
No
Capacity
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
SFC CE number
AJI614
Business Address
32ND FLOOR, 4-4A 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
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Dec 2020
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
Since 23 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
Since 23 Dec 2020
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
20 May 2019 - 17 Nov 2020
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
20 May 2019 - 17 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 9: asset management
Effective Period
20 May 2019 - 17 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 4: advising on securities
Effective Period
19 Nov 2016 - 26 May 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DEUTSCHE BANK AKTIENGESELLSCHAFT
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Mar 2015 - 26 May 2017
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, HO YIN
:
Chinese Name of Relevant Individual
吳浩然
:
HKMA Registration Number
AG6724
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Dec 2020
No
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Dec 2020
No
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
23 Dec 2020
No
HEAD, MANAGED INVESTMENT SOLUTIONS, PRIVATE BANK, WM
Name of Registered Institution
SFC CE number
Business Address
STANDARD CHARTERED BANK (HONG KONG) LIMITED
AJI614
32ND FLOOR, 4-4A DES VOEUX ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6724
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 23 Dec 2020
No
AG6724
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 23 Dec 2020
No
AG6724
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
Since 23 Dec 2020
No
AG6724
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 May 2019 - 17 Nov 2020
No
AG6724
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 May 2019 - 17 Nov 2020
No
AG6724
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 9: asset management
20 May 2019 - 17 Nov 2020
No
AG6724
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 4: advising on securities
19 Nov 2016 - 26 May 2017
No
AG6724
DEUTSCHE BANK AKTIENGESELLSCHAFT
Type 1: dealing in securities
06 Mar 2015 - 26 May 2017
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.