Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KAI KIM
Chinese Name of Relevant Individual
伍啓謙
HKMA Registration Number
AH7167
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
14 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
14 Aug 2024
Is an Executive Officer? (Yes / No)
No
Capacity
CUSTOMER SERVICES OFFICER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
SFC CE number
BJN782
Business Address
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, 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
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 14 Aug 2024
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
Since 14 Aug 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Sep 2021 - 09 Jul 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Sep 2021 - 09 Jul 2024
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
22 Feb 2018 - 13 Jun 2021
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
22 Feb 2018 - 13 Jun 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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, KAI KIM
:
Chinese Name of Relevant Individual
伍啓謙
:
HKMA Registration Number
AH7167
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
14 Aug 2024
No
CUSTOMER SERVICES OFFICER
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
14 Aug 2024
No
CUSTOMER SERVICES OFFICER
Name of Registered Institution
SFC CE number
Business Address
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
BJN782
UNIT B B/F & G/F, UNIT C G/F, 1-3/F, 16/F ROOM 01 & 18/F, WHEELOCK HOUSE, 20 PEDDER STREET, CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH7167
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
Since 14 Aug 2024
No
AH7167
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
Since 14 Aug 2024
No
AH7167
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
16 Sep 2021 - 09 Jul 2024
No
AH7167
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
16 Sep 2021 - 09 Jul 2024
No
AH7167
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
22 Feb 2018 - 13 Jun 2021
No
AH7167
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
22 Feb 2018 - 13 Jun 2021
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.