Nicolas Shi-Ming Vong
黃思明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicolas Shi-Ming Vong (黃思明), a licensed former licensee with CE reference ABY844. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-03-01 | 2011-01-12 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-03-01 | 2011-01-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2005-06-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2005-06-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-06-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2005-01-25 |