Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KATHY KA WAI
Chinese Name of Relevant Individual
伍家慧
HKMA Registration Number
AI7862
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
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2022 - 14 Jan 2025
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
19 Oct 2022 - 14 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Oct 2022 - 14 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
19 Oct 2022 - 14 Jan 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
05 Oct 2021 - 02 Sep 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
05 Oct 2021 - 02 Sep 2022
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, KATHY KA WAI
:
Chinese Name of Relevant Individual
伍家慧
:
HKMA Registration Number
AI7862
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI7862
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
19 Oct 2022 - 14 Jan 2025
No
AI7862
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
19 Oct 2022 - 14 Jan 2025
No
AI7862
HSBC BANK PLC
Type 1: dealing in securities
19 Oct 2022 - 14 Jan 2025
No
AI7862
HSBC BANK PLC
Type 4: advising on securities
19 Oct 2022 - 14 Jan 2025
No
AI7862
NATIXIS
Type 1: dealing in securities
05 Oct 2021 - 02 Sep 2022
No
AI7862
NATIXIS
Type 4: advising on securities
05 Oct 2021 - 02 Sep 2022
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.