Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
CAO, YING
Chinese Name of Relevant Individual
曹穎
HKMA Registration Number
AH0584
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 1: dealing in securities
First date of engagement
28 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
GLOBAL MARKETS
Remarks
Registered Institution
BANK OF MONTREAL
Regulated Activity
Type 4: advising on securities
First date of engagement
28 Feb 2024
Is an Executive Officer? (Yes / No)
No
Capacity
GLOBAL MARKETS
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
BANK OF MONTREAL
SFC CE number
AAK809
Business Address
SUITES 2806-2809, LEVEL 28, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, 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 OF MONTREAL
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 28 Feb 2024
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
Since 28 Feb 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
SOCIETE GENERALE
Regulated Activity
Type 1: dealing in securities
Effective Period
18 Jul 2019 - 01 Dec 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Feb 2016 - 18 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
NATIXIS
Regulated Activity
Type 4: advising on securities
Effective Period
04 Feb 2016 - 18 Apr 2019
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
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
CAO, YING
:
Chinese Name of Relevant Individual
曹穎
:
HKMA Registration Number
AH0584
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
BANK OF MONTREAL
Type 1: dealing in securities
28 Feb 2024
No
GLOBAL MARKETS
BANK OF MONTREAL
Type 4: advising on securities
28 Feb 2024
No
GLOBAL MARKETS
Name of Registered Institution
SFC CE number
Business Address
BANK OF MONTREAL
AAK809
SUITES 2806-2809, LEVEL 28, THREE PACIFIC PLACE, 1 QUEEN'S ROAD EAST, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0584
BANK OF MONTREAL
Type 1: dealing in securities
Since 28 Feb 2024
No
AH0584
BANK OF MONTREAL
Type 4: advising on securities
Since 28 Feb 2024
No
AH0584
SOCIETE GENERALE
Type 1: dealing in securities
18 Jul 2019 - 01 Dec 2023
No
AH0584
NATIXIS
Type 1: dealing in securities
04 Feb 2016 - 18 Apr 2019
No
AH0584
NATIXIS
Type 4: advising on securities
04 Feb 2016 - 18 Apr 2019
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.