Tony Yam Ming Ng
吳欽銘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tony Yam Ming Ng (吳欽銘), a licensed former licensee with CE reference AFI961. This person has 18.7 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2022-02-27 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-13 | 2017-10-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-13 | 2022-02-27 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-03-24 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2012-03-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-06 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-29 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-09-29 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-06 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-29 |