Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KOO, IAN JO-YEE
Chinese Name of Relevant Individual
谷祖義
HKMA Registration Number
AG1969
Other HKMA Registration Number(s)
AE7048
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
08 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF INVESTMENT PRODUCT TEAM
Remarks
Registered Institution
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 4: advising on securities
First date of engagement
08 Apr 2025
Is an Executive Officer? (Yes / No)
No
Capacity
STAFF OF INVESTMENT PRODUCT TEAM
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 08 Apr 2025
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 08 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Nov 2021 - 14 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Nov 2021 - 14 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
12 Nov 2021 - 14 Jul 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Aug 2021 - 11 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Aug 2021 - 11 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CA INDOSUEZ (SWITZERLAND) SA
Regulated Activity
Type 9: asset management
Effective Period
28 Aug 2021 - 11 Nov 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Dec 2013 - 10 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
13 Dec 2013 - 10 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF NEW YORK MELLON (THE)
Regulated Activity
Type 9: asset management
Effective Period
13 Dec 2013 - 10 Jan 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Jul 2010 - 12 Mar 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 Jul 2010 - 12 Mar 2013
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
KOO, IAN JO-YEE
:
Chinese Name of Relevant Individual
谷祖義
:
HKMA Registration Number
AG1969
:
Other HKMA Registration Number(s)
AE7048
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
08 Apr 2025
No
STAFF OF INVESTMENT PRODUCT TEAM
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
08 Apr 2025
No
STAFF OF INVESTMENT PRODUCT TEAM
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)
AG1969
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
Since 08 Apr 2025
No
AG1969
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
Since 08 Apr 2025
No
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
12 Nov 2021 - 14 Jul 2023
Yes
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
12 Nov 2021 - 14 Jul 2023
Yes
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
12 Nov 2021 - 14 Jul 2023
Yes
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 1: dealing in securities
28 Aug 2021 - 11 Nov 2021
No
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 4: advising on securities
28 Aug 2021 - 11 Nov 2021
No
AG1969
CA INDOSUEZ (SWITZERLAND) SA
Type 9: asset management
28 Aug 2021 - 11 Nov 2021
No
AG1969
BANK OF NEW YORK MELLON (THE)
Type 1: dealing in securities
13 Dec 2013 - 10 Jan 2021
No
AG1969
BANK OF NEW YORK MELLON (THE)
Type 4: advising on securities
13 Dec 2013 - 10 Jan 2021
No
AG1969
BANK OF NEW YORK MELLON (THE)
Type 9: asset management
13 Dec 2013 - 10 Jan 2021
No
AE7048
HSBC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
08 Jul 2010 - 12 Mar 2013
No
AE7048
HSBC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
08 Jul 2010 - 12 Mar 2013
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.