NG, WING KIN RICKY

吳榮堅

HKMA AI4120HKMA 有關人士現時已註冊主管人員 (EO)

NG, WING KIN RICKY（HKMA 註冊編號 AI4120）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 SUMITOMO MITSUI BANKING CORPORATION 註冊進行受規管活動。歷年曾於 1 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
SUMITOMO MITSUI BANKING CORPORATION	RA 1 Type 1: dealing in securities	是	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18
SUMITOMO MITSUI BANKING CORPORATION	RA 4 Type 4: advising on securities	是	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18
SUMITOMO MITSUI BANKING CORPORATION	RA 6 Type 6: advising on corporate finance	是	MANAGING DIRECTOR, CHINA CORPORATE BANKING DEPARTMENT	2020-03-18

業務地址 Business Address

註冊機構	SFC CE 編號	地址
SUMITOMO MITSUI BANKING CORPORATION	AIU472	8/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 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.

註冊紀錄 Registration History (2)

2023-04-06 – 現時現職

SUMITOMO MITSUI BANKING CORPORATION 主管人員 (EO)

RA 1 RA 4 RA 6

2020-03-18 – 2023-04-05

SUMITOMO MITSUI BANKING CORPORATION

RA 1 RA 4 RA 6

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/AI4120