Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, PIK YEE
Chinese Name of Relevant Individual
吳璧而
HKMA Registration Number
AI5049
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
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
06 Aug 2021 - 10 Dec 2022
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
06 Aug 2021 - 10 Dec 2022
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
11 Sep 2020 - 17 Apr 2021
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
11 Sep 2020 - 17 Apr 2021
Is an Executive Officer? (Yes / No)
No
Records: 1-4 of 4
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, PIK YEE
:
Chinese Name of Relevant Individual
吳璧而
:
HKMA Registration Number
AI5049
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI5049
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
06 Aug 2021 - 10 Dec 2022
No
AI5049
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
06 Aug 2021 - 10 Dec 2022
No
AI5049
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Sep 2020 - 17 Apr 2021
No
AI5049
HANG SENG BANK, LIMITED
Type 4: advising on securities
11 Sep 2020 - 17 Apr 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.