Wai Man Ng
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Man Ng (吳偉民), a licensed Responsible Officer with CE reference ACT918. Currently licensed at 1 firm(s): UCAP Securities (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 5.8 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 4 - Advising on securities | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 9 - Asset management | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-05-14 | 2021-09-27 |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
Rep | Type 9 - Asset management | 2021-05-14 | 2021-09-27 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
RO | Type 4 - Advising on securities | 2020-12-17 | 2021-03-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
RO | Type 9 - Asset management | 2020-12-17 | 2021-03-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2020-07-21 | 2020-12-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-07-21 | 2020-12-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Man Ng during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.