Graham Chi To Ng
伍志濤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Graham Chi To Ng (伍志濤), a licensed Representative with CE reference AAI128. Currently licensed at 1 firm(s): Cosmos One Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 38.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cosmos One Capital Limited 宏銘資本有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-02 | present |
| Cosmos One Capital Limited 宏銘資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-02 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-06-06 | 2021-04-07 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-06-06 | 2021-04-07 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-06-06 | 2021-04-07 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-06-06 | 2021-04-07 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-04-09 | 2019-06-06 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-04-09 | 2019-06-06 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-04-09 | 2019-06-06 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2019-04-09 | 2019-06-06 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-12-16 | 2017-03-31 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-12-16 | 2017-03-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-12-16 | 2017-03-31 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-12-16 | 2017-03-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-11-07 | 2017-03-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-09 | 2016-12-16 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-09-09 | 2016-12-16 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-09-09 | 2016-12-16 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2016-09-09 | 2016-12-16 |
| BOCI Research Limited 中銀國際研究有限公司 |
RO | Type 4 — Advising on securities | 2011-06-10 | 2016-05-31 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2008-07-11 | 2014-06-30 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2006-07-10 | 2016-05-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2006-07-10 | 2016-05-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2006-07-10 | 2016-05-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-07-10 | 2016-05-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-11 | 2006-07-10 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-11-11 | 2006-07-10 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-15 | 2006-07-10 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-12-15 | 2011-01-27 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-05 | 2006-07-10 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-01-05 | 2011-01-27 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-01-05 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-01-05 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-05 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-01-05 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-05 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-05 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-05 |