Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NGAI, YU YAN
Chinese Name of Relevant Individual
魏汝恩
HKMA Registration Number
AI3954
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Nov 2024
Is an Executive Officer? (Yes / No)
No
Capacity
PREMIER RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S 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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 05 Nov 2024
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
Since 05 Nov 2024
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
25 Jan 2022 - 27 Oct 2024
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
25 Jan 2022 - 27 Oct 2024
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
25 Jan 2022 - 27 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Apr 2021 - 26 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Apr 2021 - 26 Nov 2021
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
14 Feb 2020 - 17 Jan 2021
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
14 Feb 2020 - 17 Jan 2021
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
NGAI, YU YAN
:
Chinese Name of Relevant Individual
魏汝恩
:
HKMA Registration Number
AI3954
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
05 Nov 2024
No
PREMIER RELATIONSHIP MANAGER
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
05 Nov 2024
No
PREMIER RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI3954
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 05 Nov 2024
No
AI3954
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 05 Nov 2024
No
AI3954
HANG SENG BANK, LIMITED
Type 1: dealing in securities
25 Jan 2022 - 27 Oct 2024
No
AI3954
HANG SENG BANK, LIMITED
Type 4: advising on securities
25 Jan 2022 - 27 Oct 2024
No
AI3954
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
25 Jan 2022 - 27 Oct 2024
No
AI3954
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Apr 2021 - 26 Nov 2021
No
AI3954
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Apr 2021 - 26 Nov 2021
No
AI3954
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 1: dealing in securities
14 Feb 2020 - 17 Jan 2021
No
AI3954
CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED
Type 4: advising on securities
14 Feb 2020 - 17 Jan 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.