Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, WING KIN RICKY
Chinese Name of Relevant Individual
吳榮堅
HKMA Registration Number
AI4120
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
18 Mar 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
First date of engagement
18 Mar 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
Remarks
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
18 Mar 2020
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
SFC CE number
AIU472
Business Address
8/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Effective Date
06 Apr 2023
Description
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 06 Apr 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Mar 2020 - 05 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 4: advising on securities
Effective Period
18 Mar 2020 - 05 Apr 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SUMITOMO MITSUI BANKING CORPORATION
Regulated Activity
Type 6: advising on corporate finance
Effective Period
18 Mar 2020 - 05 Apr 2023
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, WING KIN RICKY
:
Chinese Name of Relevant Individual
吳榮堅
:
HKMA Registration Number
AI4120
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
18 Mar 2020
Yes
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
18 Mar 2020
Yes
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
18 Mar 2020
Yes
MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT
Name of Registered Institution
SFC CE number
Business Address
SUMITOMO MITSUI BANKING CORPORATION
AIU472
8/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG.
Registered Institution
Effective Date
Description
SUMITOMO MITSUI BANKING CORPORATION
1
06 Apr 2023
For Type 6 regulated activity, the Executive Officer shall not advise on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Securities and Futures Commission.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
Since 06 Apr 2023
Yes
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
Since 06 Apr 2023
Yes
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
Since 06 Apr 2023
Yes
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 1: dealing in securities
18 Mar 2020 - 05 Apr 2023
No
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 4: advising on securities
18 Mar 2020 - 05 Apr 2023
No
AI4120
SUMITOMO MITSUI BANKING CORPORATION
Type 6: advising on corporate finance
18 Mar 2020 - 05 Apr 2023
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.