Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
WONG, SIU NI
Chinese Name of Relevant Individual
黃小妮
HKMA Registration Number
AI1327
Current Registration
Not Applicable
Business Address
Not Applicable
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 CHINA (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jul 2022 - 09 Nov 2023
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
14 Jul 2022 - 09 Nov 2023
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 Apr 2021 - 02 Jun 2022
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 Apr 2021 - 02 Jun 2022
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 Apr 2021 - 02 Jun 2022
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
09 Apr 2019 - 17 Mar 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
09 Apr 2019 - 17 Mar 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-7 of 7
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
WONG, SIU NI
:
Chinese Name of Relevant Individual
黃小妮
:
HKMA Registration Number
AI1327
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI1327
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
14 Jul 2022 - 09 Nov 2023
No
AI1327
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
14 Jul 2022 - 09 Nov 2023
No
AI1327
HANG SENG BANK, LIMITED
Type 1: dealing in securities
20 Apr 2021 - 02 Jun 2022
No
AI1327
HANG SENG BANK, LIMITED
Type 4: advising on securities
20 Apr 2021 - 02 Jun 2022
No
AI1327
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
20 Apr 2021 - 02 Jun 2022
No
AI1327
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 1: dealing in securities
09 Apr 2019 - 17 Mar 2021
No
AI1327
BANK OF COMMUNICATIONS (HONG KONG) LIMITED
Type 4: advising on securities
09 Apr 2019 - 17 Mar 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.