Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, TSUN HIM
Chinese Name of Relevant Individual
吳俊謙
HKMA Registration Number
AH8187
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
09 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH OPERATIONS & SERVICES MANAGER
Remarks
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
09 Jan 2026
Is an Executive Officer? (Yes / No)
No
Capacity
ASSISTANT BRANCH OPERATIONS & SERVICES MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
SFC CE number
AAJ165
Business Address
BANK OF EAST ASIA BUILDING, 10 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
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 09 Jan 2026
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
Since 09 Jan 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
PUBLIC BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2025 - 17 Jun 2025
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
22 Mar 2019 - 06 Jun 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
22 Mar 2019 - 06 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Oct 2018 - 26 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
11 Oct 2018 - 26 Dec 2018
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
16 Jun 2018 - 19 Jul 2018
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
16 Jun 2018 - 19 Jul 2018
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, TSUN HIM
:
Chinese Name of Relevant Individual
吳俊謙
:
HKMA Registration Number
AH8187
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
09 Jan 2026
No
ASSISTANT BRANCH OPERATIONS & SERVICES MANAGER
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
09 Jan 2026
No
ASSISTANT BRANCH OPERATIONS & SERVICES MANAGER
Name of Registered Institution
SFC CE number
Business Address
BANK OF EAST ASIA, LIMITED (THE)
AAJ165
BANK OF EAST ASIA BUILDING, 10 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8187
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
Since 09 Jan 2026
No
AH8187
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
Since 09 Jan 2026
No
AH8187
PUBLIC BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Apr 2025 - 17 Jun 2025
No
AH8187
CHONG HING BANK LIMITED
Type 1: dealing in securities
22 Mar 2019 - 06 Jun 2024
No
AH8187
CHONG HING BANK LIMITED
Type 4: advising on securities
22 Mar 2019 - 06 Jun 2024
No
AH8187
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
11 Oct 2018 - 26 Dec 2018
No
AH8187
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
11 Oct 2018 - 26 Dec 2018
No
AH8187
DAH SING BANK, LIMITED
Type 1: dealing in securities
16 Jun 2018 - 19 Jul 2018
No
AH8187
DAH SING BANK, LIMITED
Type 4: advising on securities
16 Jun 2018 - 19 Jul 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.