Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, WING YAN
Chinese Name of Relevant Individual
吳頴茵
HKMA Registration Number
AJ3556
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2023 - 21 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
16 Nov 2023 - 21 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2023 - 21 Oct 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
16 Nov 2023 - 21 Oct 2024
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, WING YAN
:
Chinese Name of Relevant Individual
吳頴茵
:
HKMA Registration Number
AJ3556
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ3556
LGT BANK AG
Type 1: dealing in securities
16 Nov 2023 - 21 Oct 2024
No
AJ3556
LGT BANK AG
Type 2: dealing in futures contracts
16 Nov 2023 - 21 Oct 2024
No
AJ3556
LGT BANK AG
Type 4: advising on securities
16 Nov 2023 - 21 Oct 2024
No
AJ3556
LGT BANK AG
Type 5: advising on futures contracts
16 Nov 2023 - 21 Oct 2024
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.