Ho Yin Ng
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ho Yin Ng (吳浩賢), a licensed Responsible Officer with CE reference BAI111. Currently licensed at 1 firm(s): Aurora Borealis Investment Services Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.6 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 1 - Dealing in securities | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 4 - Advising on securities | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 9 - Asset management | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 4 - Advising on securities | 2021-04-09 | 2022-07-08 |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 1 - Dealing in securities | 2018-02-02 | 2022-07-08 |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 9 - Asset management | 2018-02-02 | 2022-07-08 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-02-11 | 2018-01-26 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 - Asset management | 2016-02-11 | 2018-01-26 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2014-11-20 | 2018-01-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ho Yin 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.