Kai Yan Ng
吳啟仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Yan Ng (吳啟仁), a licensed former licensee with CE reference AAE153. This person has 17.8 years of SFC licence history. Total licence records on file: 10.
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 | 2022-01-26 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-22 | 2017-10-02 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-29 | 2016-09-09 |
| Stockwell Securities Limited 常匯證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-01 | 2014-07-18 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2011-12-05 | 2012-10-25 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2008-06-18 | 2012-10-25 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-10-25 |
| UBS Securities Hong Kong Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-03-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Yan 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.