Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, SZE CHAI
Chinese Name of Relevant Individual
吳思齊
HKMA Registration Number
AH1928
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
21 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
First date of engagement
21 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
First date of engagement
21 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
First date of engagement
21 Oct 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF WEALTH MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
LGT BANK AG
SFC CE number
AWF529
Business Address
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, 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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 21 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
Since 21 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 21 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
Since 21 Oct 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK JULIUS BAER & CO. LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Oct 2018 - 15 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
30 Oct 2018 - 15 Oct 2021
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
15 Aug 2017 - 28 Sep 2018
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
15 Aug 2017 - 28 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Aug 2017 - 28 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Aug 2017 - 28 Sep 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Jun 2016 - 31 Jul 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-11 of 11
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, SZE CHAI
:
Chinese Name of Relevant Individual
吳思齊
:
HKMA Registration Number
AH1928
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
LGT BANK AG
Type 1: dealing in securities
21 Oct 2021
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 2: dealing in futures contracts
21 Oct 2021
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 4: advising on securities
21 Oct 2021
No
STAFF OF WEALTH MANAGEMENT
LGT BANK AG
Type 5: advising on futures contracts
21 Oct 2021
No
STAFF OF WEALTH MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
LGT BANK AG
AWF529
SUITE 4203, TWO EXCHANGE SQUARE, 8 CONNAUGHT PLACE, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH1928
LGT BANK AG
Type 1: dealing in securities
Since 21 Oct 2021
No
AH1928
LGT BANK AG
Type 2: dealing in futures contracts
Since 21 Oct 2021
No
AH1928
LGT BANK AG
Type 4: advising on securities
Since 21 Oct 2021
No
AH1928
LGT BANK AG
Type 5: advising on futures contracts
Since 21 Oct 2021
No
AH1928
BANK JULIUS BAER & CO. LTD.
Type 1: dealing in securities
30 Oct 2018 - 15 Oct 2021
No
AH1928
BANK JULIUS BAER & CO. LTD.
Type 4: advising on securities
30 Oct 2018 - 15 Oct 2021
No
AH1928
CITIBANK, N.A.
Type 1: dealing in securities
15 Aug 2017 - 28 Sep 2018
No
AH1928
CITIBANK, N.A.
Type 4: advising on securities
15 Aug 2017 - 28 Sep 2018
No
AH1928
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
15 Aug 2017 - 28 Sep 2018
No
AH1928
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
15 Aug 2017 - 28 Sep 2018
No
AH1928
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
30 Jun 2016 - 31 Jul 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.