Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
NG, TO HAN
Chinese Name of Relevant Individual
吳道衡
HKMA Registration Number
AG9730
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
BANK J. SAFRA SARASIN AG
Regulated Activity
Type 1: dealing in securities
Effective Period
03 May 2021 - 21 Mar 2024
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
03 May 2021 - 21 Mar 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Jun 2016 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
10 Jun 2016 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 9: asset management
Effective Period
10 Jun 2016 - 30 Apr 2021
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 9: asset management
Effective Period
06 Jun 2016 - 09 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Nov 2015 - 09 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
Effective Period
13 Nov 2015 - 09 Jun 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 9: asset management
Effective Period
13 Nov 2015 - 10 Apr 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
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, TO HAN
:
Chinese Name of Relevant Individual
吳道衡
:
HKMA Registration Number
AG9730
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9730
BANK J. SAFRA SARASIN AG
Type 1: dealing in securities
03 May 2021 - 21 Mar 2024
No
AG9730
BANK J. SAFRA SARASIN AG
Type 4: advising on securities
03 May 2021 - 21 Mar 2024
No
AG9730
BANK OF MONTREAL
Type 1: dealing in securities
10 Jun 2016 - 30 Apr 2021
Yes
AG9730
BANK OF MONTREAL
Type 4: advising on securities
10 Jun 2016 - 30 Apr 2021
Yes
AG9730
BANK OF MONTREAL
Type 9: asset management
10 Jun 2016 - 30 Apr 2021
Yes
AG9730
BANK OF MONTREAL
Type 9: asset management
06 Jun 2016 - 09 Jun 2016
No
AG9730
BANK OF MONTREAL
Type 1: dealing in securities
13 Nov 2015 - 09 Jun 2016
No
AG9730
BANK OF MONTREAL
Type 4: advising on securities
13 Nov 2015 - 09 Jun 2016
No
AG9730
BANK OF MONTREAL
Type 9: asset management
13 Nov 2015 - 10 Apr 2016
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.