Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, NGAI YIN
Chinese Name of Relevant Individual
吳藝姸
HKMA Registration Number
AI2406
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
30 Jun 2021 - 14 Sep 2022
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
30 Jun 2021 - 14 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Feb 2021 - 25 Feb 2021
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
20 Feb 2021 - 25 Feb 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Aug 2019 - 01 Dec 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
07 Aug 2019 - 01 Dec 2020
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, NGAI YIN
:
Chinese Name of Relevant Individual
吳藝姸
:
HKMA Registration Number
AI2406
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI2406
BANK OF CHINA (HONG KONG) LIMITED
Type 1: dealing in securities
30 Jun 2021 - 14 Sep 2022
No
AI2406
BANK OF CHINA (HONG KONG) LIMITED
Type 4: advising on securities
30 Jun 2021 - 14 Sep 2022
No
AI2406
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
20 Feb 2021 - 25 Feb 2021
No
AI2406
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
20 Feb 2021 - 25 Feb 2021
No
AI2406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
07 Aug 2019 - 01 Dec 2020
No
AI2406
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
07 Aug 2019 - 01 Dec 2020
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.