NGAN, LAM SHING

顏林成

HKMA AD0057HKMA 有關人士現時已註冊主管人員 (EO)

NGAN, LAM SHING（HKMA 註冊編號 AD0057）為香港金融管理局「認可機構證券業務員工註冊紀錄冊」內的有關人士。現時於 INDUSTRIAL BANK CO., LTD. 註冊進行受規管活動。歷年曾於 3 間認可機構任職。

現時註冊 Current Registration (3)

註冊機構	受規管活動	主管人員	職位 Capacity	首次受聘日期
INDUSTRIAL BANK CO., LTD.	RA 1 Type 1: dealing in securities	是	VICE PRESIDENT	2021-06-10
INDUSTRIAL BANK CO., LTD.	RA 4 Type 4: advising on securities	是	VICE PRESIDENT	2021-06-10
INDUSTRIAL BANK CO., LTD.	RA 9 Type 9: asset management	是	HEAD OF SALES TEAM, ASSET MANAGEMENT DEPARTMENT	2023-12-19

業務地址 Business Address

註冊機構	SFC CE 編號	地址
INDUSTRIAL BANK CO., LTD.	ALZ901	10-12/F, ONE INTERNATIONAL FINANCE CENTRE, 1 HARBOUR VIEW STREET, CENTRAL, HONG KONG

註冊條件 Conditions

Registered Institution Effective Date Description 1 Registered Institution INDUSTRIAL BANK CO., LTD. Effective Date 19 Dec 2023 --> Description --> For Type 9 regulated activity, the Executive Officer shall not provide a service of managing a portfolio of futures contracts for another person unless it is for hedging purpose only. 2 Registered Institution INDUSTRIAL BANK CO., LTD. Effective Date 19 Dec 2023 --> Description --> For Type 9 regulated activity, the Executive Officer shall, when actively participating in or when directly supervising the business of such activity, do so under the advice of another Executive Officer of Industrial Bank Co., Ltd. not subject to a similar condition.

註冊紀錄 Registration History (5)

2023-12-19 – 現時現職

INDUSTRIAL BANK CO., LTD. 主管人員 (EO)

RA 9

2021-06-10 – 現時現職

INDUSTRIAL BANK CO., LTD. 主管人員 (EO)

RA 1 RA 4

2006-12-22 – 2019-04-08

AGRICULTURAL BANK OF CHINA LIMITED 主管人員 (EO)

RA 1 RA 4

2006-12-22 – 2019-04-01

AGRICULTURAL BANK OF CHINA LIMITED 主管人員 (EO)

RA 9

2006-07-10 – 2006-12-21

AGRICULTURAL BANK OF CHINA

RA 1 RA 4 RA 9

資料引用自香港金融管理局（HKMA）「認可機構證券業務員工註冊紀錄冊」公開紀錄，僅供參考。
官方紀錄：apps.hkma.gov.hk · JSON API：/api/hkma/AD0057