NG, WING KIN RICKY

吳榮堅

HKMA AI4120HKMA Relevant IndividualCurrently registeredExecutive Officer

NG, WING KIN RICKY (HKMA registration number AI4120) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at SUMITOMO MITSUI BANKING CORPORATION. Has been engaged at 1 authorized institution over time.

Current Registration (3)

Registered Institution	Regulated Activity	Exec. Officer	Capacity	First engaged
SUMITOMO MITSUI BANKING CORPORATION	RA 1 Type 1: dealing in securities	Yes	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18
SUMITOMO MITSUI BANKING CORPORATION	RA 4 Type 4: advising on securities	Yes	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18
SUMITOMO MITSUI BANKING CORPORATION	RA 6 Type 6: advising on corporate finance	Yes	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18

Business Address

Registered Institution	SFC CE No.	Address
SUMITOMO MITSUI BANKING CORPORATION	AIU472	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 (2)

2023-04-06 – present Current

SUMITOMO MITSUI BANKING CORPORATION Executive Officer

RA 1 RA 4 RA 6

2020-03-18 – 2023-04-05

SUMITOMO MITSUI BANKING CORPORATION

RA 1 RA 4 RA 6

Data referenced from the HKMA public "Register of Securities Staff of Authorized Institutions" — for reference only.
Official record：apps.hkma.gov.hk · JSON API：/api/hkma/AI4120