Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, HOI YIN
Chinese Name of Relevant Individual
吳海燕
HKMA Registration Number
AH2292
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
04 Jan 2024
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
SFC CE number
ACX641
Business Address
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT 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
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jan 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AGRICULTURAL BANK OF CHINA LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 04 Jan 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
24 May 2022 - 26 Sep 2023
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
24 May 2022 - 26 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Aug 2020 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
12 Aug 2020 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2018 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF COMMUNICATIONS CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2018 - 31 Aug 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Aug 2016 - 04 Feb 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF CHINA (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
09 Aug 2016 - 04 Feb 2018
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, HOI YIN
:
Chinese Name of Relevant Individual
吳海燕
:
HKMA Registration Number
AH2292
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
04 Jan 2024
No
RELATIONSHIP MANAGER
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
04 Jan 2024
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
AGRICULTURAL BANK OF CHINA LIMITED
ACX641
25/F, AGRICULTURAL BANK OF CHINA TOWER, 50 CONNAUGHT ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH2292
AGRICULTURAL BANK OF CHINA LIMITED
Type 1: dealing in securities
Since 04 Jan 2024
No
AH2292
AGRICULTURAL BANK OF CHINA LIMITED
Type 4: advising on securities
Since 04 Jan 2024
No
AH2292
CHONG HING BANK LIMITED
Type 1: dealing in securities
24 May 2022 - 26 Sep 2023
No
AH2292
CHONG HING BANK LIMITED
Type 4: advising on securities
24 May 2022 - 26 Sep 2023
No
AH2292
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
12 Aug 2020 - 31 Aug 2021
No
AH2292
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
12 Aug 2020 - 31 Aug 2021
No
AH2292
BANK OF COMMUNICATIONS CO., LTD.
Type 1: dealing in securities
02 Nov 2018 - 31 Aug 2021
No
AH2292
BANK OF COMMUNICATIONS CO., LTD.
Type 4: advising on securities
02 Nov 2018 - 31 Aug 2021
No
AH2292
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
09 Aug 2016 - 04 Feb 2018
No
AH2292
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
09 Aug 2016 - 04 Feb 2018
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.