Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, KOON HO STEVEN
Chinese Name of Relevant Individual
吳冠豪
HKMA Registration Number
AA1484
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
28 Jun 2011 - 19 Aug 2013
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
28 Jun 2011 - 19 Aug 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Mar 2010 - 12 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Mar 2010 - 12 Jan 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2009 - 10 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2009 - 10 Mar 2010
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Jul 2007 - 21 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
13 Jul 2007 - 21 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
13 Jul 2007 - 21 Jan 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 02 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 02 May 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-13 of 13
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, KOON HO STEVEN
:
Chinese Name of Relevant Individual
吳冠豪
:
HKMA Registration Number
AA1484
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1484
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
28 Jun 2011 - 19 Aug 2013
No
AA1484
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
28 Jun 2011 - 19 Aug 2013
No
AA1484
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Mar 2010 - 12 Jan 2011
No
AA1484
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Mar 2010 - 12 Jan 2011
No
AA1484
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Sep 2009 - 10 Mar 2010
No
AA1484
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Sep 2009 - 10 Mar 2010
No
AA1484
HANG SENG BANK, LIMITED
Type 1: dealing in securities
13 Jul 2007 - 21 Jan 2009
No
AA1484
HANG SENG BANK, LIMITED
Type 4: advising on securities
13 Jul 2007 - 21 Jan 2009
No
AA1484
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
13 Jul 2007 - 21 Jan 2009
No
AA1484
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 02 May 2007
No
AA1484
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 02 May 2007
No
AA1484
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 06 Jul 2005
No
AA1484
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 06 Jul 2005
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.