Kester Shing Joe Ng
吳繩祖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kester Shing Joe Ng (吳繩祖), a licensed former licensee with CE reference ACD717. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2007-09-20 | 2013-04-04 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2007-09-20 | 2013-04-04 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 6 — Advising on corporate finance | 2007-09-20 | 2013-04-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-05-19 | 2006-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2005-05-19 | 2006-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2005-05-19 | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2006-05-26 |
| 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 |