Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HIU SHUNG
Chinese Name of Relevant Individual
吳曉旋
HKMA Registration Number
AH1123
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
30 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
30 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 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
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 30 Aug 2024
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
Since 30 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Dec 2021 - 18 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHONG HING BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Dec 2021 - 18 Aug 2024
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
21 Aug 2021 - 24 Oct 2021
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
21 Aug 2021 - 24 Oct 2021
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
12 Jul 2019 - 17 Jul 2021
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
12 Jul 2019 - 17 Jul 2021
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
02 Apr 2016 - 07 May 2019
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
02 Apr 2016 - 07 May 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
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, HIU SHUNG
:
Chinese Name of Relevant Individual
吳曉旋
:
HKMA Registration Number
AH1123
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
30 Aug 2024
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 4: advising on securities
30 Aug 2024
No
SALES MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1123
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 30 Aug 2024
No
AH1123
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 30 Aug 2024
No
AH1123
CHONG HING BANK LIMITED
Type 1: dealing in securities
25 Dec 2021 - 18 Aug 2024
No
AH1123
CHONG HING BANK LIMITED
Type 4: advising on securities
25 Dec 2021 - 18 Aug 2024
No
AH1123
DAH SING BANK, LIMITED
Type 1: dealing in securities
21 Aug 2021 - 24 Oct 2021
No
AH1123
DAH SING BANK, LIMITED
Type 4: advising on securities
21 Aug 2021 - 24 Oct 2021
No
AH1123
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
12 Jul 2019 - 17 Jul 2021
No
AH1123
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
12 Jul 2019 - 17 Jul 2021
No
AH1123
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
02 Apr 2016 - 07 May 2019
No
AH1123
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
02 Apr 2016 - 07 May 2019
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.