Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HOK MING KARL
Chinese Name of Relevant Individual
吳學明
HKMA Registration Number
AH1587
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
05 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
Remarks
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Oct 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP AND PORTFOLIO SALES
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 05 Oct 2024
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 05 Oct 2024
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
21 Mar 2020 - 02 May 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
21 Mar 2020 - 02 May 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2017 - 27 Sep 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2017 - 27 Sep 2019
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
20 May 2016 - 11 Jun 2017
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
20 May 2016 - 11 Jun 2017
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
20 May 2016 - 11 Jun 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, HOK MING KARL
:
Chinese Name of Relevant Individual
吳學明
:
HKMA Registration Number
AH1587
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
05 Oct 2024
No
RELATIONSHIP AND PORTFOLIO SALES
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
05 Oct 2024
No
RELATIONSHIP AND PORTFOLIO SALES
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)
AH1587
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
Since 05 Oct 2024
No
AH1587
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
Since 05 Oct 2024
No
AH1587
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
21 Mar 2020 - 02 May 2022
No
AH1587
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
21 Mar 2020 - 02 May 2022
No
AH1587
CITIBANK, N.A.
Type 1: dealing in securities
16 Sep 2017 - 27 Sep 2019
No
AH1587
CITIBANK, N.A.
Type 4: advising on securities
16 Sep 2017 - 27 Sep 2019
No
AH1587
HANG SENG BANK, LIMITED
Type 1: dealing in securities
20 May 2016 - 11 Jun 2017
No
AH1587
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 May 2016 - 11 Jun 2017
No
AH1587
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
20 May 2016 - 11 Jun 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.