Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, MAN KI BERTHA
Chinese Name of Relevant Individual
吳蔓琪
HKMA Registration Number
AC0640
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
06 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Nov 2021
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK J. SAFRA SARASIN AG
SFC CE number
AHX499
Business Address
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 06 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
OCBC WING HANG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jul 2019 - 23 Jul 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 1: dealing in securities
Effective Period
30 Sep 2016 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS
Regulated Activity
Type 4: advising on securities
Effective Period
30 Sep 2016 - 11 Jan 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jan 2016 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BNP PARIBAS WEALTH MANAGEMENT
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jan 2016 - 30 Sep 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
09 May 2013 - 28 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CTBC BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
09 May 2013 - 28 Feb 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Sep 2011 - 04 Nov 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ABN AMRO BANK N.V.
Regulated Activity
Type 9: asset management
Effective Period
10 Sep 2011 - 04 Nov 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
13 Mar 2009 - 22 Aug 2011
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
01 Jul 2008 - 22 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 9: asset management
Effective Period
01 Jul 2008 - 22 Aug 2011
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AMERICAN EXPRESS BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Jul 2006 - 12 Oct 2008
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 20
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, MAN KI BERTHA
:
Chinese Name of Relevant Individual
吳蔓琪
:
HKMA Registration Number
AC0640
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
06 Nov 2021
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
06 Nov 2021
No
STAFF OF CLIENT RELATIONSHIP MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
BANK J. SAFRA SARASIN AG
AHX499
40/F, EDINBURGH TOWER, THE LANDMARK, 15 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0640
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 06 Nov 2021
No
AC0640
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 06 Nov 2021
No
AC0640
OCBC WING HANG BANK LIMITED
Type 1: dealing in securities
12 Jul 2019 - 23 Jul 2021
No
AC0640
BNP PARIBAS
Type 1: dealing in securities
30 Sep 2016 - 11 Jan 2019
No
AC0640
BNP PARIBAS
Type 4: advising on securities
30 Sep 2016 - 11 Jan 2019
No
AC0640
BNP PARIBAS WEALTH MANAGEMENT
Type 1: dealing in securities
01 Jan 2016 - 30 Sep 2016
No
AC0640
BNP PARIBAS WEALTH MANAGEMENT
Type 4: advising on securities
01 Jan 2016 - 30 Sep 2016
No
AC0640
CTBC BANK CO., LTD.
Type 1: dealing in securities
09 May 2013 - 28 Feb 2014
No
AC0640
CTBC BANK CO., LTD.
Type 4: advising on securities
09 May 2013 - 28 Feb 2014
No
AC0640
ABN AMRO BANK N.V.
Type 1: dealing in securities
10 Sep 2011 - 04 Nov 2011
No
AC0640
ABN AMRO BANK N.V.
Type 9: asset management
10 Sep 2011 - 04 Nov 2011
No
AC0640
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
13 Mar 2009 - 22 Aug 2011
No
AC0640
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2008 - 22 Aug 2011
No
AC0640
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 9: asset management
01 Jul 2008 - 22 Aug 2011
No
AC0640
AMERICAN EXPRESS BANK LIMITED
Type 1: dealing in securities
25 Jul 2006 - 12 Oct 2008
No
AC0640
AMERICAN EXPRESS BANK LIMITED
Type 9: asset management
25 Jul 2006 - 12 Oct 2008
No
AC0640
BANK SINOPAC
Type 1: dealing in securities
06 Sep 2005 - 30 Apr 2006
No
AC0640
BANK SINOPAC
Type 4: advising on securities
06 Sep 2005 - 30 Apr 2006
No
AC0640
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 1: dealing in securities
29 Sep 2003 - 01 Aug 2005
No
AC0640
INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED
Type 4: advising on securities
29 Sep 2003 - 01 Aug 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.